. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
server device network device etc. in the computer centre or prohibited zone and identifying right for computer centre. [M] · In case of unauthorised person may have a necessary to in the computer centre
notification of the SEC. "debenture" means any debit instrument of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender
) separating area for communication with or providing services to a client from other business area particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel
exceeding one year and shall not have any restriction on selling or transferring before maturity; (3) investing in debt instrument avaled in full amount or unconditionally guaranteed by the Ministry of
securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial
products , the intermediary shall control the services in compliance with the following rules: (1) separating area for communication with or providing services to a client from other business area
quantitative investment analysis such as an analysis of a financial statement and qualitative analysis such as an analysis of policy of the company that issued the instrument which the fund intends to invest
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
derivatives broker from securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or