obtain licenses to undertake all types of securities business but not including financial institutions established by any other law which have obtained securities business licenses. Clause 4 A securities
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
the amount calculated in proportion to the remaining days of the calendar year where the license is obtained. Any association related to securities business which fails to pay the correct fee in full
application date. (Translation) -5- (b) having obtained a certificate (Level 3) in Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent courses as
or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the
has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. 2 law on loan
-943-6663-4 Fax: 02-943-6343 02-943-7740 Table showing the performance comparison between the aggregate of products obtained from eliminating overlapping benefits compared to the case excluding (Million