appointed by the SEC from the list proposed by juristic persons or groups of persons involved with the capital market; • not more than four persons elected by members of the SET; and • manager of the SET as
derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager; (5) any other service providers relating to derivatives as specified in the notification of the SEC
particulars which are material to the agreement. SECTION 134. In managing a private fund, the securities company shall provide a private fund manager with the approval of the Office in accordance with the rules
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
service; (4) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon recommendation of the SEC
right of a person to participate in an investment in any project or business; (2) specifying the right of a person to acquire specific goods, specific service, or any specific other right under an
service, or any specific other right under an agreement between the issuer and the holder, and shall include any other electronic data units of right as specified in the notification of the SEC. “digital
than one year; (5) being an officer or an employee of the Office; (6) being a manager or a person with power of management of the operation of securities business, the Securities Exchange, over-the
the overall operation of the fund and shall have the power to appoint a fund manager and shall be the representative of the fund in the businesses involving third parties. For such purpose, the fund