Securities and Exchange Commission No. SorThor/Nor. 19/2543 Re: Prescribing factors in considering the seriousness of behavior as a prohibited characteristics of persons who are or will be major shareholders
demonstrate to the Office that: (1) being a derivatives business operator in the category of derivatives dealer in accordance with the law of its home country; (2) undertaking derivatives business in the
service to the Office not less than fifteen days before the using such service. Clause 6. The securities company shall arrange a written contract with service provider, that should cover the following
any center or network with the characteristics as specified in the notification of the SEC. “trade in derivatives” means to enter into a derivatives contract. “derivatives position” means an obligation
into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the
” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager
established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose
derivatives, or in trading derivatives with a person licensed to undertake derivatives business in the category of derivatives dealer, shall not deem to be a derivatives dealer. Clause 2. This Notification
. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person