accordance with the following rules; (1) prepare and complete the daily report of net liquid capital calculation by the following business day. Every report shall be signed by authorized person; (2) file the
Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of the Securities and Exchange Commission No
------------------------------ The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. SorThor. 24/2550 Re: Calculation and Report of Net Liquid Capital Calculation (No. 2) _____________ By
person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the
Securities and Exchange Commission hereby issues the following regulations: Clause 1 . In this notification: “Derivatives fund manager” means any person licensed or registers to undertake derivatives business
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
private fund management; “connected person” 3 means the following persons unless otherwise prescribed herein: (1) a person with a relationship or connection to a management company or a fund according to
therein being that such person shall be registered as a qualified fund supervisor – for the benefit in considering the registration of such qualified fund supervisor, the Office of the Securities and
person bound to make repayment under a financial instrument as an issuer, drawer, acceptor, giver of aval, endorser, or guarantor, as the case may be. “ unit of collective investment scheme ” mean a unit
company; provided that the shares and share warrants of spouse and a minor child of such person shall also be included in the calculation. In the case where the investment advisory company proceeds the