ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed
ultimate beneficial owner or ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD
was only one customer in the first half of last year. In addition, the group has more time slot to sales due to the subsidiary related to the business operation of producing and broadcasting business
which causes a movement or change in the client’s assets for a consecutive period of one year or longer, the securities company shall send a report on the client’s assets as of the last business day of
consecutive period of one year or longer, the securities company shall send a report on the client’s assets as of the last business day of the month when the one year period expires to the client at least once
lower amount between the total amount of securities purchased and the total amount of securities sold within a one-year period, divided by the average NAV of the mutual fund in the same period. The mutual
trading in the mutual fund’s portfolio over a period. The calculation is based on the lower amount between the total amount of securities purchased and the total amount of securities sold within a one-year
transaction is classified as a Class 2 transaction with a transaction size of 26.84 % calculated using the value of consideration criterion, which gives the highest value is calculated in accordance with 15