Board concerning Rules on Personnel in the Capital Market Business. Clause 24 In cases where an intermediary being a distribution channel of any government bond or bond guaranteed for principal and
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
/07/2003 06/01/2004 2. Notification of the Securities and Exchange Commission Kor Thor. 11/2553 Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives
of the Securities and Exchange Commission Kor Thor. 11/2553 Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer (Codefied) 15/07/2010 01/08
category of securities brokerage, securities dealing, securities borrowing and lending, but excluding a company licensed to undertake securities business in the category of securities financing; “short sale