communication with a foreign regulatory agency, foreign authorities and foreign service providers in order to support in case of the occurrence of emergency incidents causing cross-border impact. In contacting
effective plan for communication with a foreign regulatory agency, foreign authorities and foreign service providers in order to support in case of the occurrence of emergency incidents causing cross-border
such measures; (3) the client is a government agency, a state enterprise or a juristic person established under specific laws; (4) the client has qualities as prescribed by the Securities Industry
effectively complied with such measures; (3) the client is a government agency, a state enterprise or a juristic person established under specific laws; (4) the client has qualities as prescribed by the
adequately and effectively complied with such measures; (3) the client is a government agency, a state enterprise or a juristic person established under specific laws; (4) the client has qualities as
licensed to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); (5) “ investor
to undertake the derivatives business by a regulatory agency on derivatives in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO); 1 As added by the
, and asset management business. Details are as follows: Equity and Derivatives Brokerage Business Phatra Securities Plc. (“PSEC”) operates Agency Business providing both securities and derivatives
supporting escrow agency businesses, while the method for deposit certification/deposit notification has been amended to accommodate electronic channels. 4. Two Electronic Transaction Acts: 4.1 Electronic