giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as well. Chapter 5 Transitional Provisions Clause 19 The personnel in
; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as well. Chapter 5 Transitional Provisions
well. Chapter 5 Transitional Provisions Clause 19 The personnel in the capital market business who have performed the duty of providing services to clients regarding investment in capital products
. Transitional Provisions Clause 24 The licensee shall be allowed to continue undertaking securities businesses in accordance with the Ministerial Regulations repealed by this Ministerial Regulation under the
of conformity to this Notification, the transitional provisions shall be applied, as specified in details in Chapter 8. Division 4 Powers of the SEC Office _____________________________ Clause 5 For
with similar facts to the case under consideration. Chapter 8 Transitional Provisions Clause 40 In this Chapter: “repealed notification” means the Notification of the Capital Market Supervisory Board or
the maximum tax rates applicable. However, under the royal decree of transitional relief announced in 18 Janurary,2020, BAM as an AMC will receive a 90% tax relief discount on properties that are being
characteristics in such case as the ground for prohibiting such person from performing duties. In this regard, the SEC Office may subject such person to certain condition or timeframe on a temporary basis. Clause
shareholders and general investors. (3) being subject to the Notice P ending sign (NP) of the Stock Exchange, or being temporary banned from trading its listed securities under the Trading Suspension sign (SP