or Clause 8 of Chapter 1, as the case may be. Chapter 1 The Applicant _____________ Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a
Provisions _____________________________ Clause 4 The requirements of this Notification are as follows: (1) undertaking business professionally, as specified in details in Chapter 2; (2) management arrangement
_____________________________ Clause 4 The requirements of this Notification are as follows: (1) undertaking business professionally, as specified in details in Chapter 2; (2) management arrangement and operating systems, as
foreign ETF are listed, and in cases where units of foreign ETF are listed on several exchanges, it shall mean the exchange specified by foreign ETF as home exchange; 2 Chapter 1 Application for Examination
Provision ____________________ Chapter 1 Scope of Applicability ____________________ Clause 4 The regulations on structured notes is under two separate parts due to the combined characteristics of the bonds
outstanding shares of an applicant for derivatives clearing house license; (b) a juristic person who holds no less than fifty percent of the total outstanding shares of the juristic person under (a). Chapter 1
partial tender offer of the business under Chapter 5 of the SEC Notification No. ThorJor. 12/2554. 1 In case of shares, regardless of class or issue, the total number of outstanding securities = ordinary
requirements of such person; (12) “ specific advice ” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1