Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, there were
FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, had duties to
FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply
Business for Licensed Derivatives Brokers dated 3 August 2009; (18) The Notification of the Capital Market Supervisory Board No. Tor Thor. 2/2553 Re: Rules on Undertaking of Derivatives Business for Licensed
Notification: “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; “market maker” means any person registered as market maker with derivatives
, conditions and procedures as specified in the notification of the SEC; (8) engage in any other business which is not a licensed securities business, except when an approval has been granted by the SEC; Other
this English translation is strictly for reference. 3 Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers