asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
agent; (3) a mutual fund supervisor; (4) a private fund custodian; (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
supervisor; (4) a private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person
private fund custodian; (UNOFFICIAL TRANSLATION) - 2 - (5) a derivatives business operator; “claimant” means any person who is caused damage by the act of the respondent or any other person assigned by such
. and no later than 9.00 P.M. and shall open on holidays and during the said hours by notify to the Office in advance; (2) in any cases other than (1) the securities company shall extend its opening hours
force. Clause 6 Any reference made in any other notifications to the Notification of the Securities and Exchange Commission No. KorThor./Nor. 8.2545 Re: Determination for Securities Companies to Proceed
6 Any reference made in any other notifications to the Notification of the Securities and Exchange Commission No. KorThor./Nor. 8.2545 Re: Determination for Securities Companies to Proceed with