, excluding the following businesses: (a) securities borrowing and lending business; (b) mutual fund management for foreign investors. (2) person licensed to undertake derivatives business in the category of
Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Derivatives broker” means any person licensed to undertake derivatives business in the category of
Supervisory Board concerning Rules on Personnel in Capital Market Business, to perform duty as a branch manager or responsible person for operating a branch office by complying with the following rules: (1) in
with the following rules: (1) in case of domestic branch office, the intermediary shall appoint a branch manager or a responsible person for operating such branch; (2) in case of oversea branch office
it has already been disseminated via SET electronic system; (3) The following cases will be exempted from filing of every five percent report:- Borrower and lender in securities borrowing and lending