underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities company” means: (a) Management company; (b) Securities company performing the duties
company” means: (a) Management company; (b) Securities company performing the duties of brokerage, dealing or underwriting of investment units; (4) “Management company” means any mutual fund management
Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence Director of
concerning Rules on Rendering a Waiver of Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver
Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence Director of Derivatives Intermediary
financial institutions: (a) a commercial bank under the Law on Financial Institution ; (b) a life insurance company under the Law on Life Insurance ; (c) a financial institution established under any other
institutions: (a) a commercial bank under the Law on Financial Institution 1 ; (b) a life insurance company under the Law on Life Insurance 2 ; (c) a financial institution established under any other law. (2
e-service Online Submission Executives of securities companies and personnel in securities business >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the