Appropriateness of selected accounting policies (paragraph number........) ( 2.1.2 Application of the selected accounting policies (paragraph number........) ( 2.1.3 Appropriateness or adequacy of disclosures in
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
analyze value and appropriateness in trading derivatives trading, product or variables specified in derivatives contract whereby such analysis shall be distributed to clients. Clause 4. Derivatives broker
directors and containing at least details as specified in the provisions under Clause 8. The policy shall be reviewed on its efficiency and appropriateness at least once a year or promptly upon occurrence of
ASEAN country. “ general consultation ” 9 means giving of consultation without considering the appropriateness of investment, the objective of investment, the financial position or the demand of any
the laws on bribery and corruption. The board of directors also has the duty to ensure implementation of the matters listed in the “implementation” section, and should review the appropriateness of the
September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets
evidentiary documentation that demonstrates facts representing such reasonable ground for entering into such transaction and an opinion on the appropriateness for every such transaction, and maintain the
operate business efficiently, responsibly and in compliance with applicable laws and regulations, including relevant standards of business operation. In considering appropriateness and sufficiency as
category of investment consultant or derivatives intermediary in the category of derivatives advisor gives investment advice to clients by taking into account the appropriateness of the investment, the