institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company

. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of

individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages

(2) The customers’ consent must be obtained or specified in the details of the mutual fund scheme in case of a private fund or mutual fund, as the case may be. In the designation for investment

offering; (b) change in par value resulting in an increase or decrease in the amount of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution

Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal

license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following

) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a

Board concerning Rules on Personnel in the Capital Market Business . Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be

, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1