shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining
meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2) “Fund Manager
” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company
an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade derivatives contract according to Clause 5: (1) having sufficient personnel
exchange only when obtains an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade derivatives contract according to Clause 5: (1) having
foreign financial institution or through derivatives exchange only when obtains an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade
business operator, which undertakes business with price settlement and contract delivery obligations, uses qualifications for undertaking futures business in the category of futures brokerage following the
Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Business Operators (Codified) (Synopsis) 03/08/2009 01/09/2009 9. Notification of Capital Market Supervisory Board 85
17/01/2005 01/03/2005 2. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies