Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
Online Submission CA - Download Forms / Manuals Investment Advisory Juristic person who undertake securities business in the category of investment advisory services under the Securities and Exchange
Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of
Providing Guarantee for Insured Mutual Fund by Securities Company in the Category of Securities Finance Business (No. 2)
Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)