Exchange Commission No. KorThor. 65/2547 Re: Rules for Derivatives Business Operation for a Licensed Derivatives Broker dated 22 December 2004 require derivatives broker to prepare a risk disclosure
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a
derivatives broker shall calculate value of instrument or securities in which it uses clients’ money to deposit or invest under clause 7 at least on every working days provided that the price used shall reflect
Office of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for the Undertaking of Derivatives Business for Licensed Derivatives Broker dated 22 December 2004, the Office of the
August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of
. 2551 (2008) hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of derivatives
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a price specified therein; (2) a contract in which one party is obliged
Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By
Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33