; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total

for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re

legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty percent of the total number of shares with voting right of such legal entity; (9) "parent company" means

percent of the total number of shares with voting right of such legal entity; (9) “ parent company ” means: (a) a company holding shares of the applicant exceeding fifty percent of the total number of

such as information structure document, operational manual, name list account of user, functional program and program specification etc. and keep such document in the safe place and simply use. [M

1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and

consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment

reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional

following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person

) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with