assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner that is
Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
derivatives business in such foreign country, whose rules for approval and supervision of derivatives business undertaking are not less strict than those prescribed under the Derivatives Act B.E. 2546 (2003
such foreign country, whose rules for approval and supervision of derivatives business undertaking are not less strict than those prescribed under the Derivatives Act B.E. 2546 (2003) including any
activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3
. 1.2 Scope of activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or
-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3 Duration of activities At least 15 hours of participation in relevant activities during the past two calendar years prior to
of paragraph one and paragraph three of Clause 12 of the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management
every days. Clause 4. Unless otherwise prescribed in Clause 6, the securities company shall open on different hours and days as indicated in Clause 3(1) within the following rules: (1) in case of