Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order to comply with such rules or suspend the approval for appointment of representatives for the
management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a securities company will continue or be restored in a timely
under the principles similar to the rules on risk management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a
, or code of conduct announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer , the SEC Office may order such person to amend
announced by the derivatives dealer in compliance with this Notification, or has had an inappropriate behavior as a derivatives dealer, the SEC Office may order such person to amend, act or refrain to act in
foreign ETF to determine whether they are subject to provisions of such Notification, and in order to control investment allotment in accordance with the rules for control of transactions related to foreign
related to securities or an issuing company. Clause 3 The rules in detail under this Notification are prescribed in order for intermediaries to comply with the Notification on Standard Conduct of Business
to securities or an issuing company. Clause 3 The rules in detail under this Notification are prescribed in order for intermediaries to comply with the Notification on Standard Conduct of Business in