Repeal of Notification of the Securities and Exchange Commission concerning Maintaining Capital of Securities Company in the Category of Securities Finance Business
Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
& Compliance Management 4. Regional Payment & Settlement 5. Data Analytics 6. Cyber Security 7. Performing Talent and Agile Organization 8. Modern World Class Technology Capability STRONG TRUSTWORTHY BRAND
: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact service or back office service; “Securities
securities business in the category of the securities brokerage, securities dealing, securities underwriting, securities borrowing and lending or securities finance business; “Service provider” means a person
Office Service From Service Provider dated 23 July 2003 shall be repealed. Clause 2. In this Notification: “Securities company” means a company licensed to undertake securities business in the category of