shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing
of the Securities and Exchange Commission No. SorNor. 5/2550 Re: Establishment of a Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours
Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6
proceedings resulted from denunciation by such authority or have been barred from serving as director or executive of the financial institution or have been imprisoned by the court’s final judgment regardless
research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to
clients; (3) accepting purchase or redemption orders of investment unit and delivering them to the management company for execution; (4) providing consultation relating to [i] selling or redeeming
date” means the day on which an offer for sale of securities is closed for a securities underwriter in general cases; (7) “date of providing over allotment shares in full” means the day on which a
Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives
” means the day on which an offer for sale of securities is closed for a securities underwriter in general cases; (7) “date of providing over-allotment shares in full” means the day on which a provider of