, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of
Notification of the Securities and Exchange Commission No. Kor Thor. 24/2558 Re: Application for the Agricultural Derivatives Business License ____________________ By virtue of Section 6, Section 9 and Paragraph
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
law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law
) 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
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
financial institutions established by any other law which have obtained securities business license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in
position of such person is required to be registered with the company-partnership registrar of the Ministry of Commerce, the derivatives business operator shall submit a copy of such registration certificate
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in