Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to Experiment and Develop Innovation In
operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all
types of securities business license, namely (1) Type E Securities Business License* for equity instruments, and (2) Private Fund Management License. The proposed amendment aims to increase choices of
Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives business in various categories consisting of (a
Derivatives Business Operator in the Category of Derivatives Broker dated 25 November 2004. Clause 3 In the Notification: (1) “derivatives business license type Sor-1” means a license to undertake derivatives
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
. KorThor. 56/2547 Re: Licensing Derivatives Business Operator in the Category of Derivatives Brokerage dated 25 November 2004. Clause 3 In the Notification: (1) “ derivatives business license type Sor-1