scheme shall submit information under (1) to securities company within the same period as that person responsible for undertaking of foreign collective investment scheme having duty to submit to investor
’ assets on a monthly basis and file it with the SEC Office within the seventh day of the following month. In this regard, business operators which have the duty to prepare and file the reports in Paragraph
have duty to file the reports under (2) or (3) with the Office shall file such reports even though there is no transaction during such period. Clause 3/1 . In case where securities companies wish to file
as attached to this Notification by the seventh day of the following month. In this regard, the securities companies which have duty to file the reports under (2) or (3) with the Office shall file such
this Notification by the seventh day of the following month. In this regard, the securities companies which have duty to file the reports under (2) or (3) with the Office shall file such reports even
or director of derivatives exchange, or derivatives clearing house; and (b) the action taken according to (a) due to the performance of duty as a staff holding a position that affects the
used its due care to determine the entering into this transaction. In this regards, to guarantee that STEC will perform its duty under the agreement (including duty to pay the remaining purchase price to
characteristics as specified; and (2) a person who is a director or a person with the controlling power of a juristic person with the duty of asset custody or protection of customers’ interest in securities
be; (3) the CIS operator shall deliver the information under sub-clauses (1) or (2) to the securities company within the same period as having duty to deliver to investors or submit to home regulator