Companies; (2) “securities” means any securities which are not debt instruments or investment units; (3) “securities company” means a company licensed to undertake securities business in the category of
for doubtful accounts It shall disclose the characters of each category of securities business account receivable and rules of consideration on allowance for doubtful accounts and bad debt amortisation
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
. KorThor. 65/2547 Re: Rules for Derivatives Business Operation for a Licensed Derivatives Broker dated 22 December 2004 require derivatives broker to prepare a risk disclosure statement for futures trading
as securities business operator in the category of mutual fund or private fund management or under custody of a securities company in its position as fund supervisor or custodian; (2) a financial
underwriter” means a securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of department
securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of department manager or higher who