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past conduct; the cooperation or obstruction with SEC’s investigation; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market
enhance cooperation in information sharing and expand opportunities for cross-border capital market activities.The MOU aims to strengthen relationship and promote collaboration between the two organizations
on derivatives or law on trust for transaction in the capital market; (3) “alleged person” means person against whom the SEC Office, based on its findings, preliminarily considers that [such person
securities company licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives
licensed to undertake the securities business in the category of securities brokerage or securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the
securities brokerage, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed3
, securities dealing or securities underwriting; (2) a person licensed to undertake the derivatives business in the category of derivatives agent or derivatives dealer; Repealed 3 ; “Notification on Standard of
changes in the digital age,” added SEC Secretary-General. In addition, the DGA will render cooperation with regard to laying out strategies, policies and action plans, develop guidelines in accordance