prohibited characteristics of executives of derivatives business operator; (5) Being able to show that any individual being its major shareholder does not have any prohibited characteristics pursuant to the

risk management; (4) being able to show that no major shareholder has any prohibited characteristic as specified in Paragraph 2 of Section 25 and the Notification of the Capital Market Supervisory Board

the group of companies is part of a conglomerate or a business group of a major shareholder, and by nature of the core business, the Company may need to form a relationship, reliance6 or competition

company under (e) or an agreement in the nature of money lending to the company under (e), provided that a fund has already become the shareholder of such company. (4)4 “ infrastructure business ” means the

, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who

qualifications and other prohibited characteristics of the derivatives business’s executives ; (5) Being able to show that person who is major shareholder does not have any prohibited characteristics under the

position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the

performance supervision, internal audit, or risk management; (5) being able to show that person who is major shareholder does not have any prohibited characteristics under Paragraph 2 of Section 25 and the

securities dealing under foreign law; (5) “ retail client ” means a client who is not an institutional investor or a high net worth investor; (6) “ institutional investor ” means an institutional investor as

title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories