Arbitral Procedure Organized by the SEC Office (No. 2)
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
Supervisory Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party _____________________ By virtue of Section 16/6 and Section 113
position to be as required by the rules, and receives the permission from the Office to expand their business operation For the purpose of the first paragraph hereof, “Expansion of operation” means: (1
specified under Clause 4, until such custodian can regain its financial position to be as required by the rules, and receives the permission from the Office to expand their business operation For the purpose
Re: Application Form for Permission for Offer for Sale of Newly Issued Debt Securities and Reporting (No.2)
No. KorNor. 2/2550 Re: Rules, Conditions and Procedures for Applying for Permission and Granting of Permission to Management Companies to Establish Branch Offices _____________ By virtue of Section 14