, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
website in the form of community web board shall not be liable to presenting oneself to the general public as being ready to provide services as investment advisor or derivatives investment advisor on the
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
(MMOU), or a regulatory agency on securities or derivatives which has already signed memorandum of understanding (MOU) with the SEC Office, which the MOU contains the mutual assistance not less than as
The SEC and the SEC Office shall issue a notification to the general public stipulating the period for consideration and making of order with respect to the issuance of license and granting of approval
Notification of the Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a
; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from accessing non-public information between the service provider’s unit
Debentures Denominated in Foreign Currency Clause 9 In the case where the intermediary provides services related to inbound products which are debentures denominated in foreign currency in a public offering
units; (10) any other instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the notification of the SEC. "debenture" means any debt instrument
Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved