Rules on Application for Approval and Granting of Approval to Undertake Trust Business
Rules on Application for Obtaining Approval and Granting to Perform Trust Business
of the aforesaid businesses are as follows: ( 1 ) In the case of “ digital asset investment consultant, ” giving advice on digital asset investment or quoting digital asset value, and in the case of
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries , as well as other notifications or guidelines issued under such Notification
, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries, as well as other notifications or guidelines issued under such Notification. Clause 4 In providing
Approval and Granting to Establish Branch Offices of Intermediaries . Clause 39 In providing services of accepting trading orders of capital market products outside the intermediary’s offices, an
Granting to Establish Branch Offices of Intermediaries. Clause 39 In providing services of accepting trading orders of capital market products outside the intermediary’s offices, an intermediary shall comply
; “ Notification on Standard of Business Operation ” means the Notification of the Capital Market Supervisory Board concerning Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing