and financial planning services to be of high quality and conveniently accessible for the public. This is to allow better access to investment services and lower costs for investment advice providers;(2
Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor
evidence relating to derivatives trading under the following rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date
rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date on which the advice is given or order is placed, as the
activities on mutual fund investment will take place, including seminars, workshops and booth exhibition. The event participants will have a chance to obtain information and investment advice from the business
Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By virtue of Section 3 and