company” means a company having any of the following characteristics: (1) a company relating to an intermediary by shareholding structure, either directly or indirectly, more than fifty percent of all
. In this Notification: (1) The term “Executive” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics
Notification: (1) The term “Executive” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and
management; (2) private fund management; (3) securities brokerage of investment units, trust certificates of trust having the similar characteristics as mutual fund or any other securities prescribed by the
condition of such relationship including the characteristics of business relationship. Clarifications on the said matters should include a comprehensive flowchart of the overall business structure of the
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
characteristics specified under Section 24 and in the Notification of the Capital Market Supervisory Board regarding Rules on Capital Market Business Personnel: (a) work related to management, establishment