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
detailed in Chapter 4. 2 Part 3 The SEC Office’s Power Clause 4 In order for this Notification to be complied with, the SEC Office may specify regulations or guidelines, as follows: (1) establish rules in
date, month and year of the order, administrative sanction imposed, name, signature and title of the authority issuing the order or the person authorized to sign the order. 2 Inserted by the Notification
act], act or omit to act in order to comply with this Notification or revoke the approval for establishing domestic or oversea branch office, where evidences are appeared to the SEC Office that such
intermediary to amend [any act], act or omit to act in order to comply with this Notification or revoke the approval for establishing domestic or oversea branch office, where evidences are appeared to the SEC
Office may order an intermediary to amend [any act], act or omit to act in order to comply with this Notification or revoke the approval for establishing domestic or oversea branch office, where evidences
prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary
, in order for payment of debt in arrears of the client; (d) the termination of agreement. 22 As amended by the Notification of the Securities and Exchange Commission No. KorThor. 23/2549 Re: Rules
entitled to be paid by the securities company, in order for payment of debt in arrears of the client; (d) the termination of agreement. 22 As amended by the Notification of the Securities and Exchange