concerning Approval of Auditors in Capital Market. 3 “executive” means an executive under the Notification of the Capital Market Supervisory Board concerning the Qualification and Other Prohibited
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of
. Notification of the Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
investment analyst, as the case may be. In this regard, such personnel shall obtain an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board regarding Rules
management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in
or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the
has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. 2 law on loan
of newly issued securities of any type except share by a foreign company which has been granted an approval for a public offering of newly issued shares in accordance with any notification; (3) an