company under the law governing securities and exchange; (7) “company” means a limited company or a public limited company; (8) “conglomerate” means a group of legal entities having relationship in respect
financial; (6) “securities company” means any securities company under the law governing securities and exchange; (7) “company” means a limited company or a public limited company; (8) “conglomerate” means a
Securities and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. Chapter 1 Application for Approval ______________________ Clause 3. Persons who obtain approval
Notification: (1) The term “Executive” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and
permitted to give advice under the law governing business operation in that country; (2) inform that foreign derivatives business operator of the criteria on giving advice under the law governing derivatives
derivatives business operator who is reliable and permitted to give advice under the law governing business operation in that country; (2) inform that foreign derivatives business operator of the criteria on
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