Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
satisfies the need of the user, and reducing the integrity risk by the content covering the development procedure or alteration from the beginning such as request including take the developed operation system
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
) international financial institutions; (8) government agencies and state enterprise under the law on budgetary procedure; (9) the Financial Institutions Development Fund; (10) the Government Pension Fund; (11
Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Businesses For Which an Approval Is Required. (2) having a procedure for providing
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
shall have a know-your-client and client due diligence procedure and ensure that the derivatives dealer is engaging solely with clients as defined in Clause 6. Additionally, the derivatives dealer shall
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the
Gazette, and shall post the announcement at the fund’s office or the registrar’s office. Section 29. The provisions of the Civil and Commercial Code on the liquidation of registered partnerships, limited