/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
. TorThor. 8/2551) To be filed before the commencement date of branch office. Notifying Report on Location Change of Headquarter, Full Branch, or Cyber Branch (Form 98(9)-1) (Notification OrThor. 12/2543
on the approval for the offer for sale of debt securities in a public offering (PO) or the offer for sale of certain types of debt securities would require credit rating to be arranged by an approved
Fining All the five administered laws stipulate that certain offences could be settled by a criminal fine.The Criminal Fining Committee appointed by virtue of such laws determines the fine. After the
lecturer or instructor in certain subjects in the courses under item continuing development course can count as official hours required under the condition of continuing development of accounting knowledge