with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the characteristics as specified in the notification of the SEC. “derivatives dealer” means any
-transfer of assets to the originator or the discharge of assets placed as collateral during the operation of an approved project, mutatis mutandis. Section 22. If the SEC Office has found that any special
. If the SEC Office has found that any special purpose juristic person fails to process the securitization under the approved project without any proper reason, the SEC Office has the power to revoke the
entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act
licensed to undertake securities business under this Act. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory
the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities, whether or not investment in other assets is also made, which
company. “executive” means a manager or a person responsible for the management of the company, whether de facto or as authorized by the board of directors as specified in the notification of the Capital
%B4%E0%B8%99%E0%B8%97%E0%B8%A3%E0%B8%B1%E0%B8%9E%... DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market
/ActandRoyalEnactment/RoyalEnactment/enactment-digitalasset2018.pd... DRAFT CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market