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
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