system for retain documents relating to payment to the fund, trade date, and payment out of the fund to the member that is easy to search and secure from unrelated persons and having control on correction
having authority to control person under (1) to (3) or person under (1) to (3) having authority to control the other persons as specified by the notification of the Office. Part 3 Soft Commissions Clause
authorized persons, procedures to control and prevent access to networks and network services, the means used to access securely, user authentication requirements, and monitoring the authorized uses of network
holding in, securities, derivative, or any other properties, or invest in or procure for profit by other means. "private fund management" 2 means the management of funds of a person or group of persons who
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
. 2546 (2003) which contain certain provisions in relation to the restriction of rights and liberties of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section
restriction of rights and liberty of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43, Section 44, Section 45 and Section 64 of the Constitution of the
, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4
measures for communications security in accordance with the following criteria: (1) manage and control computer network systems in a secure way to ensure prevention of any action that may cause a risk to
in quality control system 1. 2. Details of other auditors approved by the SEC Office of.......persons. Names and Last names CPA License No. Position Approval Period 1. 2. 3. (Additional details can be