On 11 May 2023, the SEC Board Meeting No. 9/2566 approved the principles for prescribing regulations concerning the application for licenses to operate securities trading center, clearing house
business to apply for related licenses without license fee as is the case with the existing rules. In addition, the existing licensees wishing to apply for Type E Securities Business License or Private
Some business operators wish to provide services of specific securities business, for example, brokerage, dealing and underwriting of equity instruments or private fund management, but are unable to operate such businesses with reasonable costs because the current licensing regime under the Ministerial Regulation is securities license which includes various groups of securities business and all securities which come with high application fees and do not answer the need of business operators who...
business operation that they are required to apply for the respective licenses with the SEC by 24 February 2021. For more information and inquiries, please contact SEC Help Center at Hotline 1207, press
Determination of Fees for Undertaking Businesses According to Licenses
Notification of the Securities and Exchange Commission KorThor 17/2560 Rules, Conditions and Procedures for Applying for Licenses and Granting Licenses for Operating Securities Clearing House
Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertakin
responsible for removal and demolition which shall be finished within 540 days from the date of obtaining required permits and licenses from the concerned authorities. 5.2 Value of transaction : The total value
Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint
Determination of Other Financial Institutions Eligible to Apply for Securities Business Licenses Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities