approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the regulations or conditions
from the approval date; (5) having the study or research results that show the possibility of providing innovative financial services; (6) having no record of violating or failing to comply with the
scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly
on risks and possibility of major operational disruptions due to a possible emergency incident, as well as analyse a business impact and assess damages from major operational disruptions, so that
show the possibility of providing innovative financial services, including the research results on potential risks from the regulatory sandbox ; (8) having no record of violating or failing to comply
research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to
credit rating agency from the possibility for the bank to receive financial support from the Government, if in need. Clause 7/3 3 To select credit rating information under clause 7/2, derivatives broker
refrain from expanding, to suspend, or to rectify its business operation pursuant to section 141, section 142 or section 143 of the Securities and Exchange Act B.E. 2535 (1992); (6) the management company
professional ethics or standards as stipulated by an association under the Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or