practice of such contract does not allow the party obliged to deliver goods to be released from the contractual obligations by closing out a derivative position. A contract having the provisions that require
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
exceeds fifty percent of the total paid-up shares with voting rights of the company being held, or an individual holding shares of the company in any subsequent level in a number exceeding fifty percent of
with voting rights of the company being held, or an individual holding shares of the company in any subsequent level in the number of exceeding fifty percent of the total paid-up shares with voting
shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
Securities and Exchange Commission concerning Rules Relating to Maintaining of Capital Adequacy and Professional Indemnity Insurance of Management Companies; (2) the management company is not being
the Securities and Exchange Commission; (8) “ closing time of normal trading session ” means the closing time for derivatives trading in the afternoon session of the derivatives exchange. Clause 2 This
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
documents of the fund applying for approval of establishment shall contain the stipulations indicating the features of the fund as follows: (1) being a close-ended fund except when the redemption is clearly