securities companies in underwriting securities that are not debt instruments. The provision of the first paragraph shall not apply to the underwriting of investment units. Clause 3. The provisions of Clause 4
with the clients or the provident fund committee, as the case may be. Chapter 4 Supervision of Investment for Employees’ Assets ___________________ Clause 19 The stipulation of rules or preventive
repealed. Clause 2 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
made by the fund in installments, the stipulation must be specified that fund shall invest the money reserved for the consecutive payments in the assets under Clause 46(1) (2) (3) (4) (5) or (6); (7)7 if
approved by the SEC Office to participate in a regulator sandbox. Clause 2 The provision of financial services under a regulatory sandbox of a person who is approved by the SEC Office under this Notification
, Conditions, and Procedures for Establishment and Management of Funds dated 10 June 2004, the Office of Securities and Exchange Commission hereby issues the following regulations: Clause 1. The provision in
Exchange Commission. Clause 2. The following provision shall be added as the second paragraph of Clause 44 of the Notification of the Office of the Securities and Exchange Commission, No. SorNor. 28/2549 Re
regulations: Clause 1 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
Derivatives Intermediaries (No. 2) dated 3 June 2014 , the SEC Office hereby issues the following regulations: Clause 1 The provision in this Notification is prescribed in details of appointing an independent
requirements as follows: Clause 1 The provision of sub-clause (2) in the second paragraph of Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 4/2543 Re: Custody of Client