………………………………………………………………………………………………………………………… Employee. Please specify the name of the employer ………………………………………………………………………………………………………………………..… Please specify the type of the employer: Intermediary Listed company / issuer Auditor / audit firm
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
|- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting |- Fees |- Related Circular Letter Marketing |- Approval and Standards
Repeal of Notification Concerning Approval for Auditors of Company Approved to Issue and Offer for Sale of Newly Issued Derivatives Warrant to Facilitate and Rehabilitate or Restructure Debts of the
Determination of Other Financial Institutions Eligible to Apply for Securities Business Licenses Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Application Form for Approval of Operation of Agricultural Futures Trading Business by Derivatives