-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary Name of Company
Subj: Application for establishing a branch office or converting an online branch office into a full branch office. The applicant hereby notifies the details on the establishment / conversion of a branch
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of
financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may
information to determine whether the relationship should be continued, and establishing a specific time period to make that evaluation? If yes, do the conditions include: · significant changes in the client
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under, or establishing guidelines for compliance with, the Notification of the Capital Market Supervisory Board
) arranging a communication system which clients can use to communicate with the employees of the intermediary who can provide such information to clients; (c) establishing an investment information center to
requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face