least. [A] · Backup Information and frequency of preservation · Media · copy · Procedure and method in detailed · Place and method of media storage · Providing a log book of information preservation that
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
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
. Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of
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
experts appointed as board member by the Minister through selection process in accordance with Section 31/7; in this regard, at least two of such experts shall have experience in managing a company whose
shall be: (1) a securities company which obtains a securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
). Chapter 2 Application Procedure and Fees __________________ Clause 6 An applicant shall file an application with the SEC Office, together with the evidentiary documentation via the form and method provided
basis for calculating fee, including method of payment of fee or other benefit for the investment advisory company; (9) procedure of filing complaint, name, address, telephone number of the person or