employer for checking of the correctness of the trade date (2) Examination for correctness of the amount of money payable to the fund (a) within the next business day from the trade date, the management
, 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
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
law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law
). “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
person who, in the ordinary course of business, holds himself out to the general public as being ready to engage as a counter party in a derivatives contract with any person who intends to trade in
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
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
Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of
a derivatives intermediary. “ client ” means a person who uses or will use services relating to securities businesses from a securities company or derivatives business from a derivatives intermediary