(Notification of Securities and Exchange Commission) Form 104-2/OrPor 24-2 Certified Statement Form for an Approval of Appointment of Person as an Executive of the Securities Company or the Derivatives Business
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Pursuant to the Notification concerning Determination of Fees for Filing of Registration Statement, Registration and Other Applications, as amended, the calculation of fees shall be based on the
reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals
reference. Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals
Notification of the Office. Clause 4. In a short sale of securities pursuant to the customer’s order which is not an institutional customer, the securities company shall proceed as follows: (1) inform the
characteristics prescribed by Notification of the Office. Clause 4. In a short sale of securities pursuant to the customer’s order which is not an institutional customer, the securities company shall proceed as
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities