person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval and approval for appointment of an
in management relating to derivatives business, such as risk management committee, investment committee, or operation supervision committee, etc. Clause 2. As regard the application and approval for
in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to
, investment consultant, investment planner or agricultural commodity trading management official has been granted and the period of such approval has not ended, the following rules shall apply: (a) in case the
of the following year. In case an approval to be which one of investment analyst, investment consultant, investment planner or agricultural commodity trading management official has been granted and
provide the five-step wealth advisory service under the scope of their licensed business. Other interested business operators may submit an application for approval to SEC and SEC will consider their
. Notification of the Office of the Securities and Exchange Commission No. SorChor. 24/2555 Re: Approval of Appraisal Company and Lead Appraiser Contributing [Asset Evaluation] for Capital Market Transaction
objective only to risk management. The draft regulations aim to provide investors with more variety of investment alternatives and promote new income channels for securities companies as well as increase
responsible for REIT management. 2 Clause 3 This Notification shall comply with the following matters: (1) the approval of the REIT manager shall be subject to the provisions under Chapter 1; (2) the duties of
. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market _________________________ Whereas Section 61, Section 89, Section 106