of the insurance company; (b) letter of guarantee of a commercial bank, finance company, or financial institution established under a specific law; (c) other collateral prescribed by the Office
Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.
services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
conditions as prescribed in Division 4 of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
. Notification of the Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit
Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or services, more than those should