executive or mutual fund manager or private fund manager on the renewal application date in cases of investor contacts who have been approved on the basis of such status; 3.1 Being an investor contact
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
manner that is not subject to Chapter 3 Public Offering of Securities may file an application with the SEC Office requesting an inspection as to whether units of foreign ETF under such application are
Investment Advisors and Appointment of Investment Advisory Agents (codified as of 28/02/2005) (Synopsis) 14/09/2001 01/03/2002 Report/Form (Notification of Securities and Exchange Commission) Application
Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances 03/11/2011 16/11/2011 9. Notification of the Office of the Securities and Exchange Commission
. Report/Form (Notification of Securities and Exchange Commission) Form 117-6 Application for an Approval of Mutual Fund Manager 21. Report/Form (Notification of Securities and Exchange Commission) Form
KorDor. 28/2540 Application for a License to Undertake Securities Borrowing and Lending Business 31/07/1997 6. Notification of the Office of the Securities and Exchange Commission SorThor. 39/2546 11
Independent Director of an Intermediary 03/06/2014 01/07/2014 10. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be