business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance business, securities business, and credit
Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for and Granting of Approval to Undertake Trust Business dated 4 June 2009, the SEC Office hereby issues the following
/OrPor 24-1 Application for an Approval of Appointment of Person as an Executive of the Securities Company or the Derivatives Business Operator (Form as of 25 July 2006) (Synopsis) 15. Report/Form
Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive of Derivatives Business Operator B.E. 2553 (2010) 01/02
Commission) Form 104-1/OrPor 24-1 Application for an Approval of Appointment of Person as an Executive of the Securities Company or the Derivatives Business Operator (Form as of 1 July 2006) 13. Report/Form
apply to any undertaking with respect to the following matters, mutatis mutandis. (1) application for approval, granting approval, and conditions in granting approval of trust managers; (2) cessation of
concerning offerings of covered funds in the same manner as offerings under ASEAN CIS and ARFP, mutatis mutandis . · In the case where a covered management company in Hong Kong no longer wishes to offer a Hong
Companies shall comply with the provisions concerning offerings of covered funds in the same manner as offerings under ASEAN CIS and ARFP, mutatis mutandis. - In the case where a covered management company in
of which significantly affect corporate operating results in terms of profit-loss or liability in each accounting period. After filing the application for fund establishment, additionally, proposed
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to