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Securities Dealer Business >> Risk Control

  Type Title Section See Document Status Notified Date Effective Date
1. Notification of Capital Market Supervisory Board  Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary   06/09/2013 01/04/2014
2. Notification of Capital Market Supervisory Board  TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied)   06/09/2013 01/04/2014