satisfies the need of the user, and reducing the integrity risk by the content covering the development procedure or alteration from the beginning such as request including take the developed operation system
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous
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
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
Services of Outbound Products Clause 10 In providing services to clients regarding investment in an outbound product , the intermediary shall put in place a procedure to ensure that the outbound product has
Services of Outbound Products Clause 10 In providing services to clients regarding investment in an outbound product , the intermediary shall put in place a procedure to ensure that the outbound product has
understanding of risk and investment, investment experience, financial position, financial encumbrances, desire and restriction of investment etc.. Clause 16. In making investment advisory handbook for
than the juristic person under (8); (7) international financial institutions; (8) government agencies and state enterprise under budget procedure law; (9) the Financial Institutions Development Fund; (10
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