Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
Notification: “ deposit ” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial
: “deposit” means the following assets: (1) cash deposit, certificate of deposit, depository or other instruments having similar characteristics and whose deposit accepters being a financial institution under
being a financial institution under the Law on Loan Interest of Financial Institutions or a financial institution under foreign law; (2) an agreement having characteristics comparable to the assets under
person who is approved by the SEC Office under this Notification shall be exempted from being regarded as securities business in the following categories during the period of such regulatory sandbox, but
approved by the SEC Office under this Notification shall be exempted from being regarded as securities business in the following categories during the period of such regulatory sandbox, but only within the