center or network where services for clearing and settlement of obligations under derivatives are provided as an ordinary course of business, and has been licensed or registered under this Act, excluding
of securities companies under (1) arranging an agreement for establishing a securities trading center in accordance with the rules specified in Clause 3; (3) offering innovative financial services that
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and
Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 35/2557 Re: Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives
No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
employee who can provide such information to the client at the office of the securities company where the client comes to use the services; (c) arrange a service center for providing investment information
Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such securities company; (b) Promote or publicize to the
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Income 1.1 Brokerage fees 1.1.1 Brokerage fees from Securities business 1.1.2 Brokerage fees from Derivatives business 1.2 Fees and services incomes