, 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
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
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
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
position of such person is required to be registered with the company-partnership registrar of the Ministry of Commerce, the derivatives business operator shall submit a copy of such registration certificate
). “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
brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom
4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations