, 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
law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law
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
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
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
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
). “derivatives business” means the undertaking to provide services as the following: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other
conjunction with (11) and (12) of the first paragraph under Clause 12 and Clause 14 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management
employer for checking of the correctness of the trade date (2) Examination for correctness of the amount of money payable to the fund (a) within the next business day from the trade date, the management
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