securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
___________________________________ By virtue of Clause 3(4) of the Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for Obtaining an Approval and Granting to Perform Trust Business
reference. 10 Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 14/2551 Re: Approval for Undertaking of Derivatives Business ___________________ By virtue of Section 9 and Paragraph
supervision, internal audit, or risk management; 3 Amended by the Notification of the Securities and Exchange Commission No. KorThor. 25/2558 Re: Approval for Undertaking of Derivatives Business (No.4) dated 2
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
. A mutual fund management company may engage in a transaction with the mutual fund under its management only when it is necessary and appropriate and a written approval from the mutual fund supervisor
mutual fund management company may engage in a transaction with the mutual fund under its management only when it is necessary and appropriate and a written approval from the mutual fund supervisor is
of the Office of the Securities and Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2