as the approved securities investment consultant for 1 month, effective from July 9, 2015.3. Suspended {C} from her duty as the approved capital market investment consultant for 2 months, effective
more weight to practical rules and regulations developed from effective communication and understanding with all stakeholders. Rulemaking, however, will not be the only tool; other approaches are also
Infrastructure Trusts (No. 4) dated 6 March 2017 (effective on 1 June 2017). 3 (1) amount and offering price; (2) period of the offering; (3) detail on the subscription, underwriting and allotment of the units; (4
and Exchange Commission No. Kor Thor. 13/2558 Re: Licensing Derivatives Exchange and Derivatives Clearing House (No. 2) dated 6 August 2015 (effective from 1 September 2015). 1 Repealed by the
(effective as from 16 November 2016). 3 Clause 4 The rules in detail according to this Notification have been prescribed in order for intermediaries to comply with the Notification on the Standard Conduct of
/2559 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest (No. 4) dated 12 October 2016 (effective as from 16 November 2016). 2 Amended by the Notification of the Office of the
the Securities and Exchange Commission No. Sor Shor. 44/2558 Re: Approval of Auditors in the Capital Market (No. 3) dated 10 July 2015 (effective on 20 July 2015). 2 Amended by the Notification of the
) dated 3 July 2018 (effective on 16 July 2018). 2 Amended by the Notification of the Securities and Exchange Commission No. KorMor. 19/2560 Re: Determination of Fees for Undertaking Business According to
2018 (effective on 16 July 2018). 2 (1) the investment unit specified under the Law on Securities and Exchange; (2) a financial instrument or certificate representing the right of the holder as the owner
. 2) dated 26 August 2014, effective as from 1 September 2014. 2 Repealed by the Notification of the Securities and Exchange Commission No. KorRor. 12/2557 Re: Rules for Being Settlor and Trustee of