by the Government, the company having problem in debt payment, or in the existence of business the company which is potentially revoked from being the listed company in the securities exchange etc
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2
, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of
characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic
company, or a financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
which has the duty to maintain the capital under the Notification concerning Maintenance of Capital . “ Notification concerning Maintenance of Capital ” means the Notification of the Securities and