Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending
institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending
institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending
establishment] from the Securities and Exchange Commission. “ mutual fund management company ” means a securities company licensed to undertake securities business in category of mutual fund management. Chapter 2
company” means a securities company licensed to undertake securities business in category of mutual fund management. 6 Amended by the Notification of the Capital Market Supervisory Board No. TorThor. 6/2560
company” means a securities company licensed to undertake securities business in category of mutual fund management. 6 Amended by the Notification of the Capital Market Supervisory Board No. TorThor. 6/2560
: “intermediary” means a securities company or a derivatives intermediary; “fund management company” means a securities company licensed to undertake securities business in the category of mutual fund or private
, businesses and payment have shifted into the digital realm. Meanwhile, cyber threats have become more sophisticated, as seen from their application of state- of-the-art technologies. Against this backdrop
requirements: (a) having been licensed to undertake securities business in the category of mutual fund management and having commenced such business operation; 10 Amended by the Notification of the Capital