Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.

analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving

the proceeding for such statement of claim. Clause 10. After receiving a copy of the statement of claim, the respondent may file a counterclaim as per Form OrYor. 3 prescribed by the Office to the

of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules

such action with a view to preventing other creditors of the customer from receiving repayment of indebtedness, either in whole or in part, or that the derivatives business operator has failed to comply

conditions as prescribed in Division 4 of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or

. Notification of the Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit

Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and

. Upon receiving or deemed to have received the approval for appointment of an executive of the derivatives business operator, or upon the termination of such approval of the SEC Office, if the change of

: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and