reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
comply with this Notification under the same standard. In this regard, the SEC Office may impose the detail for consistence with the category of any intermediary or capital market products ; (2) issuing
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
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
the category of any intermediary or capital market products ; (2) issuing the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of
securities’ proceeding to solve a problem. (4) proceed with the complaint in Clause 3 and Clause 4; (5) store evidentiary documentation involving the complaint and proceeding for no less than two years from
having agricultural products as underlying assets or variables which are entered into outside the derivatives exchange and are in accordance with the following criteria: (a) being entered into before 16
premises with other people, the management company shall proceed as follows: (1) arrange to have space for the branch office to serve customers and to store documents separated from space that other people