able to show that any individual being its director, manager or person with power of management who is in charge of derivatives business of the applicant meets the requirements and does not have any
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
business value chain 3.2.1 Business value chain Describe the characteristics of the business value chain that show the relationship of the key stakeholders with the activities related to business operation
, 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
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
legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has qualifications
compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
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
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
derivatives trade which shall at least contain the rule on financial stability and position, as well as the conduct of business, and there shall be specified the concerned provisions of law or rule, and the