Procedures for Brokerage and Dealing of Securities That Are Not Debt Instruments dated 26 September 2000, and Clause 25/1 of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re
Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities That Are Not Debt Instruments dated 26 September 2000, and Clause 25/1 of the Notification of the Securities and Exchange
Exchange Commission No. SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins _____________ By virtue of: (1) Clause 1(9) of the Notification of the Securities and Exchange
. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins _____________ By virtue of: (1) Clause 1(9) of the
close friend to trade securities for himself. The amount of money withdrawn from his own account was the same amount deposited as collateral for the client's trading account. The client later withdrew the
) amount and category of assets ; (3) cause of receipt or disposal of assets . In cases where the assets recorded in a client’s account belong to a third party and are deposited as collateral for the benefit
. In cases where the assets recorded in a client’s account belong to a third party and are deposited as collateral for the benefit of such client, the securities company shall record the name of the
as follows: (1) issue notices to the creditors whose names appear in the accounts and related documents of the mutual fund, instructing them to submit demand for debt repayment to the liquidator within