, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed 3 ; “Notification on Standard of
shall be explained the procedure of credit approval, standard of measuring credit exposure and determination of credit limits of the counterparty; (e) as regard the price risk management, there shall be
management, there shall be explained the procedure of credit approval, standard of measuring credit exposure and determination of credit limits of the counterparty; (e) as regard the price risk management
No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14
of the Securities and Exchange Commission No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch
., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and
but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed