, 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

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

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

) ………………………………………………………… Location of head office ……………………………………………………………… …………………………………………………………………..…………………… Telephone number …………………….. Facsimile number ……………………….. Part 2: Category of an applicant □ A commercial bank under the

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

derivatives trade which shall at least contain the rule on financial stability and position, as well as the conduct of business, and there shall be specified the concerned provisions of law or rule, and the

entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act

and sale or exchange of securities in the Securities Exchange and in an over-the-counter centre by a securities company licensed to undertake securities dealing business; (9) relocate its head office or

identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices

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