undertake securities business; “Office” means the Office of the Securities and Exchange Commission. Clause 2. A securities company shall provide policy and regulation on operational control and information
The MOC has issued the Ministerial Regulation Prescribing Rules and Procedures on the Repurchase of Shares, Disposal of Repurchased Shares and Deduction of Repurchased Shares of Companies (No. 3) B.E
, supervisory guidelines for bills of exchange and extension of regulation on net liquid capital rule on business operators of brokerage, dealing and underwriting of investment units (LBDU) as follows: 1. Bill
Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation
Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of
and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of
The Cabinet has passed the resolution approving in principle the draft Ministerial Regulation concerning Granting of Approval for Undertaking Securities Business, which prescribes two additional
operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best