capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
. There should be a system to control the dividend payment procedure to be reliable where the prospectus has specified that the payment may be made under different method. 3.3.5 The calculation and
instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
) Date (Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
(Oldest) Notification of the Securities and Exchange Commission KorNor. 1/2554 Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund http
necessary to put in place an effective handling procedure. Each organization should establish a clear procedure and cyber threat handling guidelines. We hope this drill will be a beginning for capital market
committee via other method and the meeting can be start sooner than mentioned above. If at least two committees requested for a meeting, the chairman should take any action to have such meeting to be held