investment scheme. Clause 3. The SEC Office may specify detailed guideline for the purpose of complying with this Notification and when having complied with the guideline, it shall be deemed to have been
brokerage services, a securities company shall be exempted from complying with the Notification of the Capital Market Supervisory Board No.Tor.Thor. 65/2552 Re: Rules and Procedures for Securities Brokerage
are prescribed in Appendix B-I-SFC Circular of the MoU; (2) the management company shall be exempt from complying with the regulations related to the limitations on exercise of the voting right
assets of INGRS which is less than 15%. Based on the size of transaction, it is not subject to the disclosure of information and complying with the rules and regulations under the Notification of the
advance about the hours and days on which such order will not be placed; (2) complying with requirements as specified in the Notification of the Capital Market Supervisory Board relating to rules for giving
advance about the hours and days on which such order will not be placed; (2) complying with requirements as specified in the Notification of the Capital Market Supervisory Board relating to rules for giving
Exchange (No. 3) dated June 13, 2011 4 Clause 7/17 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process
Exchange (No. 3) dated June 13, 2011 4 Clause 7/17 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process
last year, complying with the Automotive industry situation including automobile and motorcycle. The Company’s revenues mainly came from the increase in sales and services of these 2 business units as
, placing of collateral, payment of debt under derivatives and any other details related to such procedures as well as compliance with foreign derivatives exchange rules for derivatives trading; (3) complying