profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in

, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this

to issue this notification in order to monitor and control the offshore investment volume of the securities companies.

Exchange Commission can manage risk or make arbitrage with trading of securities or derivatives relating to gold in foreign countries, it is therefore necessary to issue this Notification in order to monitor

different from those mandatory targets prescribed by the FAP (12 hours/year, and at least 6 hours relate to accounting subject)? If yes, explain how and why. 8 How does the firm obtain, compile and monitor

handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings

intermediary , in order to monitor the compliance with this Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent