Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
under the law on life insurance or a financial institution established under other laws, as follows: (1) a securities company in the category of securities brokerage, securities dealing or securities
Category of the Securities Financing dated 28 July 1997; (2) Notification of the Office of the Securities and Exchange Commission No. Sor Thor/Nor. 26/2549 Re. Form for Financial Statements of Securities
: Clause 1 In this Notification: “ derivatives business operator ” means a person obtaining the derivatives business license in the category of derivatives broker or derivatives fund manager, but not
) implementing any other act as prescribed by the Office. Clause 6 . In giving advice, the investment advisory company shall comply with the rule prescribed by the Office and shall arrange the Category A investor
Investments in debt and net equity securities It shall disclose the rule of fair value assessment of each category of investments in debt and net equity securities namely cost price, price writing-off cost
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
instruments and investment units; “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a