. Details of the applicant (pursuant to Clause 7 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting of Approval
complete the consideration process within one hundred and twenty days as from the date of receiving the application together with the accurate and complete evidentiary documentation according to the
Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.
opportunities or constraints – for example, obtaining a business license, concession or investment promotion – and clarify the respective benefits thereof as well. In the event that the Company or a subsidiary
Clause 15 The submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such approval shall be in accordance with the rules, conditions and
services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
. Notification of the Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit