Chapter 1, as the case may be. 4 Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license
and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. (Translation) 3 Chapter 1 Application for Approval ______________________ Clause 3. Persons who
the capital market. Chapter 1 Application for Approval as Auditor in the Capital Market _____________________ Part 1 Filing of Application ______________________ Clause 7 Any person wishing to be an
intermediary shall be conformed to Chapter 1; (2) the outsourcing of operational function to service providers shall be conformed to Chapter 2; (3) the outsourcing of operational function other than sub clause
conformed to Chapter 1; 5 Amended by the Notification of the Capital Market Supervisory Board No. TorThor. 47/2560 Re: Outsourcing Operational Function relating to Business Operation to Third Party (No.6
______________________ Chapter 1 Scope and General Rules ______________________ Clause 4 This Notification shall apply to the application and approval for an offer for sale of debt securities of a company with the
applicant shall submit an application accordingly to Chapter 2 of Part 1 and comply with Part 2; (2) in relation to the submission of the registration statement, the applicant shall submit the said document
Securities and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. Chapter 1 Application for Approval ______________________ Clause 3. Persons who obtain approval