. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
Line "OHKAJHU" and Line "Broker_Aom" : Unlicensed securities and derivatives business (Disclosure Date : 07/10/2025)
person in the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis . Chapter 1 General Provisions _____________ Clause 4 An intermediary which
the same business sector as the intermediary shall be in accordance with the rules under Paragraph 1, mutatis mutandis. 2 Chapter 1 General Provisions _____________ Clause 4 An intermediary which
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
Broker dated 2 April 2008; (5) Notification of the Capital Market Supervisory Board No. TorThor. 46/2553 Re: Rules on Applying for and Permission of Establishing Branch Offices of Derivatives Broker (No. 2
Derivatives Broker (No. 2) dated 7 December 2010. Clause 3 This Notification shall be applicable to the establishing of any intermediary’s branch office, excluding the branch office of [an intermediary which is