In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of
having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1
derivatives dealer has outsourced other persons to undertake the function of contacting, soliciting or giving advice relating to derivatives transaction or analyzing the value or advisability of the derivatives
contacting, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities for investors, the investor contact shall not delegate other
units of domestic money market fund; (4) the clients who wish to invest in shares or share warrants of a company and they are existing shareholder of the company while there is such investment. In case
analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving
capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights; (4) a
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment
, soliciting, giving advice and preparing investment plan or analyzing securities investment for investors, the investor contact shall not delegate other persons to act or perform duties on his behalf. Clause 11