the amount calculated in proportion to the remaining days of the calendar year where the license is obtained. Any association related to securities business which fails to pay the correct fee in full
obtained an approval from the Office according to rules and procedures prescribed by the Office. Clause 4 . Upon an appointment of the liquidator, the management company shall: (1) deliver to the liquidator
investment units via the life insurance company; (11) “Derivatives Investor Contact” means a person obtained an approval to be derivatives investor contact according to the notification of the Office of the
fee according to the obtained license at a fixed rate or a rate based on business volume, as the case may be, as specified in this Notification. The licensee shall pay only the fee for the license that
licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has
the derivatives broker is a securities company which has obtained an approval from the Office to make a derivatives trading for their own account according to the notification governing derivatives
obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal