) dated 14 December 2016. Clause 2 In this Notification: “derivatives Broker” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of
regulations regarding possession of prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the
; (4) other liabilities as stipulated by the Notification of the SEC Office. “ risk haircut ” means a risk haircut arising from the engagement in the securities business or any other operations of the
Notification of the SEC Office. “risk haircut” means a risk haircut arising from the engagement in the securities business or any other operations of the securities company; “collateral” means the total sum of
World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
out of these four directors jointly sign with the company’s seal affixed.” 3. Approval for disposal of “Komchadluek” business and trademark to Nation Broadcasting Corporation Public Company Limited
-incompetent person; (2) I am a person not eligible to serve as director, manager, person with managerial authority or advisor of financial institution because of the possession of prohibited characteristics