capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included

Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By

with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the

). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the evidentiary documentation via the form and method provided

basis for calculating fee, including method of payment of fee or other benefit for the investment advisory company; (9) procedure of filing complaint, name, address, telephone number of the person or

least. [A] · Backup Information and frequency of preservation · Media · copy · Procedure and method in detailed · Place and method of media storage · Providing a log book of information preservation that

income structure of such period is required, as the case may be. 2 Including the profit margins in the associates based on equity method. 3 Describe the nature and proportion of other incomes, other

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for

. Clause 21. A securities company shall clearly determine the method and procedure for amending the trading transaction of the client in writing. Moreover, securities company shall monitor the amended

equity method. 3 Describe the nature and proportion of other incomes, other significant incomes must be displayed in a separate row (if any). Give a separate description of each product line or business