related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with specific information regarding work
of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice
. (Translation) -3- “general advice”5 means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice”6 means an investment advice
. KorKhor. 19/2548 Re: Rules, Conditions and Procedures for Dealing of Debt Securities (No. 9) dated 28 February 2005. (Translation) -3- “general advice”5 means an investment advice given to any person
a representation given in accordance with the rules specified in the notification of the SEC Office. (5) In cases where derivatives broker engage as a counter party in a derivatives trading with the
already specified, except for a representation given in accordance with the rules specified in the notification of the SEC Office. (5) In cases where derivatives broker engage as a counter party in a
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