Commission, orders and circulars issued under or prescribing guidelines in compliance with the Notification of the Securities and Exchange Commission No. KorThor./Nor. 8/2545 Re: Determination for Securities
oversight procedures are consistent. The MOU also prioritizes information sharing for mutual best interest. The signatories aim to support human resource development in the financial sector and educate
investment research in compliance with ASCO guidelines as approved by the SEC. The guidelines will include the requirements that brokers must produce investment research to cover at least 30 securities; each
Investor Contacts and Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for
Standards of Conduct ______________________ By virtue of: (1) Clause 3(2) of the Capital Market Supervisory Board No. TorNor. 27/2552 Re: Rules, Conditions, and Procedures for Establishment and Management of
Clause 4/1 of the 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
virtue of (1) The second paragraph of Clause 4/1 of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and