investment advisory service; (3) a securities company which obtains a securities business license in the category of venture capital management. Clause 5 In the case where a securities company intends to
. Clause 7 If critical functions are outsourced to service providers, intermediaries shall arrange business continuity plan to covers events of disruption of service providers except where intermediaries
: Clause 1 In the case where an intermediary having outsourced the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider
the case where an intermediary having outsourced the function which is investment management of mutual fund or provident fund or derivatives investment management to a foreign service provider who is
different locations. The first model is the pop-up store where only To-Go products are available. This type of store model is usually set up in a high traffic area (e.g. BTS and MRT station) where customers
Companies shall comply with the provisions concerning offerings of covered funds in the same manner as offerings under ASEAN CIS and ARFP, mutatis mutandis. - In the case where a covered management company in
center or network where services for clearing and settlement of obligations under derivatives are provided as an ordinary course of business, and has been licensed or registered under this Act, excluding
Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website hosts or seminar organizers arrange for derivatives advisers, being natural