prohibited characteristics of executives of derivatives business operator; (5) Being able to show that any individual being its major shareholder does not have any prohibited characteristics pursuant to the
concerning qualifications and prohibited characteristics of executives of derivatives business operator; (5) Being able to show that any individual being its major shareholder does not have any prohibited
/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of Section 16 of the
November 2008. Clause 2 The following notifications shall be repealed: (1) The Notification of the Securities and Exchange Commission No. KorNor. 8/2547 Re: Licensing Derivatives Business Operator in the
: Licensing Derivatives Business Operator in the Category of Derivatives Fund Manager dated 23 January 2004; (2) The Notification of the Securities and Exchange Commission No. KorThor. 56/2547 Re: Licensing
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to comply with the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made
this Notification: “derivatives business operator” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not including