concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no effect on businesses of securities
foreign ETF to determine whether they are subject to provisions of such Notification, and in order to control investment allotment in accordance with the rules for control of transactions related to foreign
details: 5.1 Operational procedures and resposible persons In order that companies are able to restore its critical operational function within a specified period after operational disruption, companies
continuity with suitability, reliability and effectiveness in order that the intermediaries are able to service with the best interest of customers and that the intermediary’s personnel are able to work
the due diligence in order for the applicant to clarify such observation within the period specified in the notice of observation. In this regard, the SEC Office shall conduct the due diligence and
derivatives position; (5) “ maintenance margin ” means the minimum amount of assets which a client shall maintain as long as the derivatives position is held in order to secure the performance of derivatives
which a client shall maintain as long as the derivatives position is held in order to secure the performance of derivatives; (6) “derivatives exchange” means any derivative trading center licensed by the