number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
fund supervisor; “Mutual fund” means any open-end fund and closed-end fund; “Management company” means a securities company licensed to undertake securities business in the category of mutual fund
this Notification: “Fee” means fee for the operation of a licensed business. “Income” means income derived from the operation of a licensed business. “Office” means the Office of the Securities and
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
three business days from the date when a report on securities analysis has been disseminated to investors; (c) the period where there are outstanding securities trading orders of clients; (d) the period
Capital dated 5 June 2014 shall be repealed. Clause 3 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory service or derivatives advisory service
be repealed. Clause 2. In this Notification: “Derivatives agent” means any person licensed to undertake derivatives business in the category of derivatives agent. “Derivative exchange” means any
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the
securities companies licensed to undertake securities business in the category of mutual fund management All securities companies licensed to undertake securities business in the category of securities
Clause 12, Clause 15 and Clause 26 of the Notification of the Capital Market Supervisory Board No. TorThor. 80/2552 Re: Rules on Undertaking of Derivatives Business for Licensed Derivatives Brokers dated 3