. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
exchange with an exception for a SET permission.Therefore, SEC intends to revise the regulations on listed securities trading services outside the stock exchange for proper supervision and in accordance
) | - |- Others Securities Dealer Business |- Licensing / Registered Capital / Fees | - |- Licensing (Section 90) | - |- Activities NOT deem TO be classified AS operating securities business | - |- Registered
Dealer (Codefied) 15/07/2010 01/08/2010 Notification of the Securities and Exchange Commission KorThor 11/2553 Registration of Derivatives Business Operator in the Category of Derivatives Broker and
. Notification of Capital Market Supervisory Board TorThor. 22/2553 Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type (Codefied) 01/06/2010
Clause 6 In this Notification: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
similar form of fundraising and benefit generation. In essence, the amendments support enhancement of digital token offering supervision with proper investor protection mechanisms and a focus on fair
SEC studied regulations in other countries to find proper guidelines for supervision, focusing on standardized services and putting investors first. The matter is still under the discussion with