. Notification of the Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
investment analyst, as the case may be. In this regard, such personnel shall obtain an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board regarding Rules
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
or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the
has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. 2 law on loan
debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of Newly Issued Structured Debentures or other Instruments having
advance. In this regard, the securities company shall set out the rules which requires a written authorization for seeking an approval. 12 As amended by the Notification of the Securities and Exchange
. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of