for Undertaking Businesses as Derivatives Business Operator (No. 2) dated 14 December 2017; Clause 2 In this Notification: “ licensee ” means: (1) person licensed to undertake securities business
Exchange Commission No. KorThor. 65/2547 Re: Rules for Derivatives Business Operation for a Licensed Derivatives Broker dated 22 December 2004 require derivatives broker to prepare a risk disclosure
. KorThor. 65/2547 Re: Rules for Derivatives Business Operation for a Licensed Derivatives Broker dated 22 December 2004 require derivatives broker to prepare a risk disclosure statement for futures trading
private fund; “Management company” means any mutual fund management company and private fund management company; “Mutual fund management company” means any securities company licensed to undertake
securities company licensed to undertake securities business in the category of mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business
Office of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for the Undertaking of Derivatives Business for Licensed Derivatives Broker dated 22 December 2004, the Office of the
to rate or value as stipulated by the Notification of the SEC Office; (9) “ securities company ” means a securities company licensed to undertake securities business in the following categories
company” means a securities company licensed to undertake securities business in the following categories, excluding a securities company which is a commercial bank under the law on financial institution