Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the
the cause under Clause 4 (3), the derivatives business operator shall remove such executive from the position or from office within a necessary and reasonable period of time without delay. Clause 6
more than the proportion specified in the notification of the SEC. In cases where the settlor or the trustee, by virtue of beneficiary, receives interest more than the proportion specified in the first
, following the approval. If the approved person fails to attend the training course within the specified period, the approval shall be deemed terminated and the Office shall remove the name of such person from
shall remove such person’s name from the register of person qualified to be fund manager. Clause 7 . Any person to be approved to be listed in the register of person qualified to be fund manager shall
complied with Section 65 or (3) is an offer for sale of newly issued securities by a public company limited and is made entirely to its shareholders in proportion of their existing shareholding and in
shall undertake the securities borrowing and lending business within that restriction. In the case where the business operator under the first paragraph wishes to relax or remove such restriction, the
property fund manager shall be deemed terminated and the Office shall remove the name of such person from the register of person qualified to be fund manager if such approved person cease to be the manager
the amount calculated in proportion to the remaining days of the calendar year where the license is obtained. Any association related to securities business which fails to pay the correct fee in full
possessed prohibited characteristics under Division 1, an intermediary shall remove such person from the position thereof for the following periods: (1) in case of prohibited characteristics in Group 1 under