applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities brokerage not limited to debt
brokerage not limited to debt securities or investment units; (3) a person who obtains derivatives business license in the category of derivatives broker whose shareholder is a commercial bank or the
Dealing which are not Debt Instruments or Investment Units dated 3 August 2009; (4) Clause 17 of the Capital Market Supervisory Board No. TorDor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of
dated 3 August 2009; (3) Clause 13 of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions, and Procedures for Securities Brokerage and Securities Dealing which are not Debt
shall not deal with the issuance and offer for sale of depositary receipts that includes a fund raising of foreign companies. Chapter 1 Application for Approval ____________________ Clause 5 Any person
Company may convert convertible debentures or preferred shares which shall be subject to the provisions of the laws. In making share payment, subscribers or purchasers of shares are not allowed to set off
period specified by the SEC Office, provided that this requirement does not cause unreasonable burden to derivatives clearing houses. Part 5 Definitions Clause 6 In this Notification: “derivatives clearing
Supervisory Board including any regulations or guidelines issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation
Board including any regulations or guidelines issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation, or have