trading transactions regularly. In case of doubtful authenthicity, investors should seek clarificatioin from the back office of such securities firm. It should be reminded also that money for trading
contain important information pertaining to shareholders’ rights including the rights to nominate candidates for the election of directors, the SEC has reminded Mr. Suphanan, the officer in charge of
fund, trade date, and payment out of the fund to the member in other form for at least 5 years. In the case where the retained information is in other form, the information should easily be recalled (3
information should easily be recalled (3) Having backup system and measures for emergency situation to prevent the extended discontinuing of operation. 1.1.2 Document and Information Security Page 16 of 32