transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the
shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the maintenance of such evidence during
service provided to general customers either on or off- foreign derivatives exchange for the purpose of managing risks associated with such customer’s investment in foreign securities.
system” means the electronic data interchange provided by the SEC Office for filing reports of securities company to the SEC Office. Clause 3 This Notification shall apply to securities companies which
, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this
in the category of derivatives dealer under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. Clause 3 . An applicant for derivatives business
under the law of such foreign country; provided that this is limited to the case derivatives dealer registration. 1 As added by the Notification of the Securities and Exchange Commission No. KorThor. 47
application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during