in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives
case may be. “ clearing house ” means a clearing house under the law on securities and exchange . Clause 3 This Notification is applicable to a securities company which wishes to engage in a short
house approved by the SEC or by a person granted an exemption in accordance with the Law on Securities and Exchange for operating a clearing house without license, either directly or through a third party
Additionally Referred Underlying of a Derivatives in Type of Goods and Variables. “ clearing house ” means a clearing house by definition given under the Law on Securities and Exchange. Clause 2 The following
derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices
Securities and Exchange Commission No. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of Section 14, the second
center or network with the characteristics as specified in the notification of the SEC. “derivatives clearing house” means any center or network where services for clearing and settlement of obligations
information in detail [i] to the intermediary , the derivatives exchange, the derivatives clearing house or the SEC Office upon request or [ii] according to the rules as specified by the exchange, the clearing
contract, and has been licensed or registered under this Act, excluding any center or network with the characteristics as specified in the notification of the SEC. “derivatives clearing house” means any
; (6) “ derivatives exchange ” means any derivative trading center licensed by the Securities and Exchange Commission; (7) “ derivatives clearing house ” means any derivatives clearing house licensed by