company’s Trading Rules as approved by the SEC Board and its deposit/withdrawal service for digital assets with professional care to increase protection of its clients’ assets and ensure continuing services
Before providing investment service in the capital market, intermediaries, such as securities companies and asset management companies, must know their investors or clients’ detailed information
appropriately and sufficiently in line with the number of clients and the transaction volume; 2) Rectifying the client acceptance policy to be consistent with the work systems capable of providing services
additional client information; - The provision of services relating to investment analysis and consultancy so as to specify the plan for investment allocation for clients by distributing investments in
monitor investee companies responsibly for clients? best interest. Declaration of voluntary compliance with the I Code is expected for launch in 2017 and the disclosure of information based on the I Code
private funds, resulting in one all inclusive type which would be allowed to invest in any financial assets and transactions according to the agreements with the clients, and (3) permission for margin loans
market personnel including new types of capital market personnel required to obtain the SEC?s approval due to their vital responsibilities having high impact on the clients. The approval will be applicable
Market Supervisory Board Tor Thor. 1/2560 Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (Codefied) 17/01/2017 16/02/2017
. Act Securities and Exchange Act 2535 98 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board TorThor. 43/2552 Custody of Clients Assets by Securities Companies (Codified