of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with
should be considered by the audit committee and the board of directors so that they can exchange their views, align their understandings and decide on appropriate practical guidelines for the companies
detailed in Chapter 4. 2 Part 3 The SEC Office’s Power Clause 4 In order for this Notification to be complied with, the SEC Office may specify regulations or guidelines, as follows: (1) establish rules in
subsidiaries (i) will not declare or pay a dividend (in cash or in kind), (ii) will not affect a stock split or other similar reorganization of its capital base, and (iii) except as undertaken in the ordinary
a person responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets . Clause 6 A securities company shall establish rules or practice guidelines
responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets. 3 Clause 6 A securities company shall establish rules or practice guidelines for custody of
issued under or prescribing guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor. 10/2550 Re: Short Selling of Securities relating to ETF Mutual Fund, dated
, orders and circulars issued under or prescribing guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor. 10/2550 Re: Short Selling of Securities relating to