Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the
regarding derivatives contracts or suitability for purchasing and selling derivatives contracts, based on the amount of advisory contents in accordance with the rules and procedures as prescribed by the
advisory contents in accordance with the rules and procedures as prescribed by the Office. (4) giving advice through any media or at any seminars where the media owners, program owners, columnists, website
companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of approval for
expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives, the Office has prescribed guidelines for renewal of
contact, solicit or advise their customers, the Office expects the companies to lay out plans and procedures for effective development of investor contact competency. To achieve the aforesaid objectives
) stipulates that the issuance of rules, conditions and procedures for undertaking securities businesses in the categories of securities brokerage, securities dealing, investment advisory service, securities
issuance of rules, conditions and procedures for undertaking securities businesses in the categories of securities brokerage, 3 securities dealing, investment advisory service, securities underwriting