clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “investment” means an acquisition, disposal or holding of
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition
Exchange Act B.E. 2535 (1992) (SEA). 2 Local intermediary means an entity licensed to undertake securities business in the category of securities brokerage, including a securities company licensed to
relating to any volume limitations on sales and conditions under which the agreement may be terminated. If known, disclose the identity of the broker(s) or dealer(s) that will participate in the public
01/03/2017 2. Notification of the Securities and Exchange Commission KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer
Securities Company and Derivatives Intermediary 06/09/2013 01/04/2014 4. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating
Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary 06/09
Capital Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary 06/09/2013 01/04