reference. 4 Notification of the Securities and Exchange Commission No. Kor Khor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals
Securities and Exchange Commission No. KorKhor. 8/2554 Re: Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives _____________ By virtue
characteristics as specified in Section 103, the Office shall have the power to withdraw its approval and the securities company shall propose other persons for the approval from the Office within fifteen days from
communicate emergency plan to concerned person acknowleged as necessary and preventing unauthortized person acknowleged Propose to delete “preventing unauthortized person acknowleged” IT Club Approve with the
customer within seven days from the date the derivatives broker completes its consideration of the customer complaint; (3) notifying the customer to acknowledge the rights to propose the complaint to be
the category of derivatives brokerage limited to precious metal derivatives; (7) a commercial bank ; (8) other financial institutions as prescribed by the Securities and Exchange Commission; or (9) a
Clause 4/1, the SEC Office shall propose for the Securities and Exchange Commission to consider granting the license within sixty days as from the date when the SEC Office receives the application together
contract, the derivatives fund manager shall: (1) Propose investment plans which are suitable for investors; (2) Sufficiently and timely disclose or arrange to have disclosure of information that is
complete qualifcations as specified, the Office shall propose the case for the Securities and Exchange Commision to consider granting the license, in which case the Securities and Exchange Commission shall
An intermediary shall propose only suitable services relating to investment or transactions of capital market products to a client . In this regard, it shall take into account the following factors as