on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
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
that the cloud provider is sufficiently prepared to provide services on demands; (6) disseminate and communicate the cloud computing policy with the relevant employees and procure their signature for
from the provisions under Division 2: Debentures, Division 3: Issuance of Secured Debentures, Division 4: Register and Transferability, or Division 5: Disclosure of Information and Auditor of this
checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
].............., CPA License No. ......................, I hereby provide evidentiary documentation for your consideration, as follows: 1. Evidence on the registration of juristic person / body of persons: 1.1 a copy of
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action