such person to the SEC Office within the last business day of the month of December 2014. In case the person under the first paragraph has failed to obtain an approval from the SEC Office within the
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and Section 18 of the
Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and Section 18 of the Derivatives
exercise their voting rights in the same direction and agree to jointly manage a business, which is considered to be acting in concert as a result of the nature of a relationship or behaviour according to
foreign ETF operator is not subject to limitation or suspension of business or revocation of license or registration as securities business operator by foreign regulator, and such certification shall be
decline by dropping 43.48% compared to the same period last year as sales in China stagnated since the end of last year. Nevertheless, the Company’s business expansion to the Philippines helps extend the
. Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business ____________________________ By virtue of Section 16/6 and Section 113 of the
the CIS operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors; (b) is not subject to the order of business suspension or revocation