Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory
approved. 2. That the connected transaction regarding the appointment of Ms. Suchada Sodthibhapkul, Authorized Director, as an Executive Director of the Company for the period from November 2018 to October
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)
: Category A investor contact referring to investor contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze
preparing records of clients’ assets from those responsible for physical keeping of such assets , and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither
records of clients’ assets from those responsible for physical keeping of such assets, and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither a person