Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets (Section 98(3)) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel
Allocation (Section 81) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major Shareholders | - |- Approval
Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major
on Personnel in the Capital Market Business . Clause 6/1 In appointing a juristic person to be an agent as prescribed in Clause 5(2), a management company shall appoint a juristic person who possesses
management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in
such law in the part of their responsibilities; (8) having readiness of personnel for proceeding as assigned by the management company. In this regard, in case the management company has assigned the
skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4
diligence; 2 (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial