work relating to provision of securities services, securities operation or research on securities or capital markets or other similar lines of work, regardless of whether the operation of such line of
securities or capital markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4
, research on securities or capital market or other similar business functions; (c) Business function relating to commercial banking services or other similar business functions; Regardless of whether such
manner that is not subject to Chapter 3 Public Offering of Securities may file an application with the SEC Office requesting an inspection as to whether units of foreign ETF under such application are
Exchange shall be at the rate of 0.001 percent of the trading value, regardless of whether such trading is for clients’ accounts or proprietary account, deducted by the following items: (a) the trading value
securities company at the time of selling order but the securities company is confident that the customer owns such securities, regardless of whether the securities are in the customer’s possession or
official will perform an investigation before recommending the case to the public attorney who has authority for prosecution. The power to adjudicate whether any person is guilty or not is, however, vested
criminal complaint by the SEC is only the beginning of the criminal enforcement process. As to whether any persons are offenders shall be subject to the investigation of the inquiry official, the prosecution