requirements as follows: Clause 1 The provision of sub-clause (2) in the second paragraph of Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 4/2543 Re: Custody of Client
work relating to provision of securities services, securities operation or research on securities or capital markets or other similar lines of work, regardless of whether the operation of such line of
, Conditions, and Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of Securities and Exchange Commission hereby issues the following regulations: Clause 1. The provision in
wishes to cancel the provision of services as securities registrar shall notify the securities issuer of the service cancellation in writing, and shall arrange the delivery of securities and documents
the mutual fund’s accounts and related documents certified by the management company, and arrange for the fund supervisor to deliver the mutual fund’s accounts and related documents to the liquidator
funds or the transferred mutual funds which are dissolved due to the merger or the amalgamation shall be in accordance with the Notification No. TorNor. 75/2552, mutatis mutandis . However, the provision
whose provision of derivatives business is limited to institutional investors. The institutional investors in Paragraph 1 means the institutional investor under Section 3 and the Notification of the
provision relating to the restriction of rights and liberties of the person, while Section 29 along with Section 35, Section 36, Section 45, Section 48 and Section 50 of the Constitution of the Kingdom of
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports