purchaser / transferor of the securities; - business relationship, e.g., strategic partner, trade partner, etc.; - other forms of relationship. Specify. In case of two or more transactions executed on the
employer for checking of the correctness of the trade date (2) Examination for correctness of the amount of money payable to the fund (a) within the next business day from the trade date, the management
under the law governing trade associations having characteristics and objectives similar to those of an association related to securities business and wishing to become an association related to
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
derivatives trade which shall at least contain the rule on financial stability and position, as well as the conduct of business, and there shall be specified the concerned provisions of law or rule, and the
translation is strictly for reference. 6 Notification of the Capital Market Supervisory Board No. TorThor. 23/2553 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Dealers By
Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
; (4) other liabilities as stipulated by the Notification of the SEC Office. “ risk haircut ” means a risk haircut arising from the engagement in the securities business or any other operations of the