regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification
approval by the Office to be a custodian only if such person has the following qualifications: (1) Its financial position must be as follows: (a) In the case where the applicant is a financial institution
the approval by the Office to be a custodian only if such person has the following qualifications: (1) Its financial position must be as follows: (a) In the case where the applicant is a financial
the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the
) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office shall be positive. In case where the securities company increase its paid-up capital
opinions on by the auditor of the mutual fund and certified by the management company, within fifteen business days as from the dissolution date of the mutual fund; Where it is necessary and reasonable, the
limiting derivatives broker ’s responsibility on assets of clients , and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker ’s duty, there shall be a