supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
. TorThor. 8/2551) To be filed before the commencement date of branch office. Notifying Report on Location Change of Headquarter, Full Branch, or Cyber Branch (Form 98(9)-1) (Notification OrThor. 12/2543