shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction

of operation of the securities company. “Service provider” means a provider of services as an investor contact on behalf of securities companies or a provider of back office services to securities

statement shall be placed after the statement under (a) and on the same page; (2) The calculation of the return or performance in the past shall be prepared in accordance with performance measurement

with indirect connection to the organization’s internal network systems; “ cloud computing ” means a type of internet-based computing that provides shared computer processing resources and data on demand

awards on past performance of the fund shall be made only when it complies with the following rules: (a) the ranking or award specified in the advertisement has been granted by an agency or institution

having improper manner on securities dealing, the Office may order such securities to amend, to act or to refrain from any act in compliance with this notification. Notified this 26th day of September 2000

of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the

effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system

undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or

(e); (2) bonds having high-risk or complex characteristics including: (a) hybrid securities with debt repayment period longer than 270 days as from the date on which hybrid securities have been issued