Re: Registration of Licensed Derivatives Business Operator in the Category of Derivatives Fund Manager
Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business
Qualifications of Debenture Holders’ Representatives and Authorized Actions of Debenture Holders’ Representatives (codified)
the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being permitted to be a derivatives dealer
the supervision of the State or the agency authorized to supervise derivatives trading as: □ being licensed to be a derivatives dealer; □ having been registered to be a derivatives dealer; □ being
/6121pe.doc DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if appropriate, promulgate
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
notification hereto: (1) “derivatives broker” means any entity licensed to undertake derivatives business in the category of derivatives broker; (2) “manager” means any person who is authorized by the board of