instruments and investment units; “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to
) dealing in securities as specified in (3); (3) underwriting of securities as specified in (3). “applicant” means person applying for securities business license under this Ministerial Regulation
the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping
directors in each case every time before proceeding with the subcontracting and there shall be an arrangement for the subcontractor to become a person under Clause 12, Clause 16, Clause 17 or Clause 18, as
following requirements shall apply: 1. in case of a central utility function, the subcontractor at any level shall be a person approved by the SEC Office in accordance with Clause 12; 2. in case of a non
capital market. Chapter 1 Application for Approval as Auditor in the Capital Market ___________________ Division 1 Filing of Application ______________________ Clause 7 Any person intending to be an auditor
variables as prescribed by the Office; (4) “ applicant ” means a person applying for derivatives business license under this Notification; (5) “ commercial bank ” means any commercial bank in accordance with
prescribed by the Office; (4) “applicant” means a person applying for derivatives business license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial