permitting license within 60 days from the date on which the SEC Office has received complete application and documentation. In this regard, the Securities and Exchange Commission will complete its
prescribed by the law on derivatives or the law on securities and exchange, as the case may be. “ client ” means a client of an intermediary as prescribed by the law on derivatives or the law on securities and
prescribed by the law on derivatives or the law on securities and exchange, as the case may be. “client” means a client of an intermediary as prescribed by the law on derivatives or the law on securities and
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party is obliged to deliver the
the Office of the Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas
Securities and Exchange Commission No. OrThor. 7/2549 Re: Guidelines and Conditions for Securities Company Relating to the Using of Back Office Service from Service Provider Whereas the securities company may