operator shall proceed as follows: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign
person to be an executive of the company or in cases other than (2), the derivatives business operator shall proceed the followings: (a) in case of an appointment of a person to be director or manager, the
intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
of the Notification of the Office of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules of Derivatives Business for Licensed Derivatives Brokers dated 22 December 2004, the SEC
, hereby issues the following regulations: Clause 1 This Notification shall come into force from 1 November 2013. Clause 2 In this Notification: “ intermediary ” means: (1) a derivative business operator in
Custodian dated 30 March 2001. Clause 2. In this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager
Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means