fund or private fund management, or derivatives investment management company. “fund” means mutual fund and private fund. “investor” means any person interested in investing in capital market products
. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product
professional principle. “appraisal company in capital market” means a juristic person having normal business purpose to value any asset and wish to contribute appraisal services for capital market transaction
fund management, or derivatives investment management company; “fund” means mutual fund and private fund; “investor” means any person interested in investing in capital market products including
Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market
Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market
credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such
capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.* The SEC therefore suspended her from duty as the approved