application to the Office, together with documents and evidence as per the forms and procedures provided in the electronic work system of the Office. The Office shall notify the securities company of the result
meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2) “Fund Manager
. Report/Form (Notification of Securities and Exchange Commission) Form 90-19 Application for an Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business
” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
12/2558 03/04/2015 01/06/2015 10. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be Director and Executive