securities company that its client or a person who applies for opening a securities trading account or the person who has power to instruct the orders for securities trading of the client’s account is an
In the case where it appears to the securities company that its client or a person who applies for opening a securities trading account or the person who has power to instruct the orders for securities
account or the person who has power to instruct the orders for securities trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1
examination together with documents and evidence in full. In examining the characteristics of the units of foreign ETF, the SEC Office may instruct the applicant to make clarifications in person or submit
instruct the SET to issue or amend its rules, or to act or omit to act, with a view to preventing damages. Securities Trading Center is another type of secondary market. Any company wishing to establish
derivatives positions; (b) instruct the closing out of derivatives positions; 4 (c) limit derivatives positions; (d) limit derivatives trading volume. (2) establish the rules requiring members to obtain a
office continues, the Office shall have the power to instruct the securities company to rectify, undertake, or refrain from undertaking any act to comply with this notification, or shall have the power to
shall have the power to instruct the securities company to rectify, undertake, or refrain from undertaking any act to comply with this notification, or shall have the power to revoke the approval of such