Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer

Rules for Undertaking Derivatives Business for Registered Derivatives Broker and Dealer (No. 2)

Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer

, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. Clause 4. In taking

, willfully or negligently, of the derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. (Translation) 2 Clause 4

derivatives broker or its staffs. Clause 3. Derivatives broker shall not appoint any person to be its agent to undertake custody of customer assets. (Translation) 2 Clause 4. In taking custody of customer

derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker

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 Section 18 of the

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

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 Section 18 of the Derivatives