securities company licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives
Capital Market Business Personnel and have completed the training courses on foreign currency risk at any agency recognized by the SEC Office, to provide services to the clients regarding investment in the
reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
following conditions: (1) the licensee shall commence operation of derivatives business in the category specified in the license only after the SEC Office having completed its inspection, is of the view that
with the following conditions: (1) The licensee shall commence operation of derivatives business in the category specified in the license only after the Office having completed its inspection, is of the
law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law
following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a
based on business volume specified under (1)(b), whichever is the higher amount, deducted by the fee previously paid to the SEC Office. In this regard, any additional payment of fee shall be completed by