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ordinary persons categorized in the institutional investor group to not receive appropriate protection when engaging in Repo transactions with business operators.The SEC is therefore proposing to amend the
can also be categorized by industrial sector in which it invests, for example, if invested in transportation system project, infrastructure fund will be listed under transportation and logistics sector
trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment
investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment consultant providing consultation only on capital market product not having complex
disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead. (For example, Business A and Business B generate 65 percent and 35
financial statements in accordance with the accounting standards on disclosure of financial information as categorized by business units, the income structure of the most recent year may be displayed instead
for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
audit process before submitting the report to the SEC. Nevertheless, conducting a special audit is an important matter that may affect the rights and benefits of securities holders or the investment