, intermediaries shall perform as follows: (1) establish business continuity management policy (Business Continuity Management: BCM) which is approved by senior management and boards of directors; (2) establish
will be major shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (a) the scope of
shareholders of the securities companies, as follows: (1) major factor which is the facts that the Office give more weight than other facts in considering, as follows: (Translation) -2- (a) the scope of effect
understand and comply with the regulations prescribed in the said Notifications properly, the SEC would like to provide clarificatory notes to the Notifications and relevant guidelines, with details as follows
the registration as a derivatives business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance
business operator must be a juristic person as follows: (1) a commercial bank under the law on commercial bank; (2) a financial company under the law of finance business, securities business, and credit
company shall proceed as follows: (1) The private fund which is not a provident fund shall comply with Clause 3(1), (2), (3) and (5) mutatis mutandis and the private fund management company shall report its
private fund management company shall proceed as follows: (1) The private fund which is not a provident fund shall comply with Clause 3(1), (2), (3) and (5) mutatis mutandis and the private fund management