prescribed, the Office shall have the authority to waive the appointment of independent director for subject securities company temporarily or permanently as prescribe in the first paragraph. In such instance
management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently
office or a manager from a branch office. Clause 11. For a management company that is going to close any branch office either temporarily or permanently, the date which the management company closes such
revoke the approval of such branch office. Clause 16. The securities company wishing to temporarily or permanently close the branch office shall notify the Office and publicly announced its closing at its
branch office. Clause 16. The derivatives broker wishing to temporarily or permanently close the branch office shall notify the Office and publicly announced its closing at its premise in advance within
temporaty or permanently cases. 3.3 Business Impact Anaysis Companies shall analyse a business impact and assess on damage from major operational disruptions so that companies are able to set priority of
internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has the power to waive the appointment of independent director temporary or permanently
company shall provide a reservation of information and computer system of the securities company which is capable of supporting the business operation continuously, efficiently and up to date. Clause 9. The
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
company of which shares are held by one or various precious metal trading firm , who undertake precious metal business continuously not less than 3 years, more than 50% of the total voting rights shares