executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange
2 In this Notification: “ intermediary ” means a securities company or a derivatives intermediary. “ the Notification concerning personnel ” means the Notification of the Capital Market Supervisory
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
, regardless of the usage of advice from the investment advisory company, and that a general advice is given regardless of the specific characteristic of an individual, therefore, prior to adopt an advice, the
Derivatives Act (No.2) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: “derivatives broker” means any company licensed to undertake derivatives business in the category
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
issuing company or securities company, or his obtaining approval has been suspended or revoked by the SEC Office, or he possesses a characteristic which causes the approval terminated, or he has been being
instruments and investment units; “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to
within 30 December 2018; (2) a company which is newly established to apply for the agricultural derivatives business license , except the companies under (1). Clause 4 An applicant shall be granted the
specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company