, executive or employee of other company that undertakes the business in similar manner or competes with the business of management company except where management company demonstrates that the organizational
A securities brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock
undertakes business related to capital market for four months, effective since 4 September 2017. In the case of (5), {E} advised a client to open a mutual fund trading accounting instead of a fixed deposit
provided in the application; (2) The licensee shall maintain the qualifications and arrangements set out under Clause 3 at all time during which it undertakes gold derivatives brokerage business; (3) The
the qualifications provided in the application; (2) The licensee shall maintain the qualifications and arrangements set out under Clause 3 at all time during which it undertakes gold derivatives
and already informed the cessation thereof in writing to the SEC Office. In this regard, such securities company which still undertakes derivatives business in the category of derivatives brokerage has
writing to the SEC Office. In this regard, such securities company which still undertakes derivatives business in the category of derivatives brokerage has duty to comply with the Notifications of the
company which still undertakes derivatives business in the category of derivatives brokerage has duty to comply with the Notifications of the Securities and Exchange Commission concerning Maintenance of
next consideration. Clause 13. The custodian who undertakes the business as a custodian prior to this Notification become effective, shall be deemed as a custodian approved by the Office and shall comply