of Capital and obtains approval from the SEC to resume the operation of such business as usual; (2) give a written notice of the suspension of business under (1) to the clients without delay; (3) take
derivatives broker is for client's benefit. In the case where the derivatives broker deposits or invests in assets under Paragraph 1(1) or (4) but later the credit rating is changed, if the derivatives broker
report of net liquid capital calculation, and for each time that such contract is changed; (4) keep every daily report of net liquid capital calculation and evidences using for calculating such particulars
without delay, and the processes and procedures shall be improved in line with the policy which has been changed; (4) report on the conformance of the information technology governance policy shall be
the material facts of any data stated in this form or the form of curriculum vitae certification (form 104-2/Or Por 24-2) have been changed, the company shall inform the Office within seven days from
person appointed by the management company to act as a mutual fund manager and it appears later that the information specified in Form 117-6 has changed, the management company shall prepare and submit a
or the fund manager’s office to examine the business, assets and liabilities of the fund during usual working hours: (2) to order the fund committee members, the fund manager or the fund’s officers who
or invests in assets under Paragraph 1(1) (a) 1. or 4. but later the credit rating is changed, if the company is unable to comply with terms specified in clause 18/2, the company shall proceed and
, and the processes and procedures shall be improved in line with the policy which has been changed. Additional Guidelines 1. The policy on the management of information technology risk under Clause 5(1
has acknowledged and accepted such investment risk; (2) monitor and revise the client’s information. In the case where the assessment result of the client’s risk profile has changed, the intermediary