the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
/1)1 the fund submitted for the approval appears to serve mainly the interest of a single person or a single group of persons; (3) the establishment of the fund may cause an impact on the overall
Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The
, 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
Notification of the Office of Securities and Exchange Commission No. Sor Thor/Nor. 45/2559 Re: Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of
obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for
securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of
Establishment of Risk Management System for Business Continuity of Intermediaries dated 21 October 2016 (“ Notification No. SorThor/Nor. 45/2559 ”) which specify on the rules for operation systems capable to
for Establishment and Management of Property Funds for Solving Financial Institution Problems ; (2) Notification of the Capital Market Supervisory Board regarding Rules, Conditions and Procedures for
Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to