anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry

Notification of the Office of Securities and Exchange Commission concerning Approval of Auditors in Capital Market during the previous approval period; ( (3) Other requests for approval (which are not subject to

of derivatives shall be categorized according to their level of risk. The derivatives dealer shall also consider the purpose of investment and determine the appropriate quantity of derivatives

10/1. In applying for license, if the applicant requests to restrict the scope of its securities borrowing and lending business in any way, then after license has been given,, the business operator

. In the case where the Office requests the management company to explain or to provide additional documents within a specified period, if the management company does not comply nor proceed within the

be property fund manager requests for the letter showing the result of the renewal application referred in the second paragraph, such person shall submit the request form as prescribed in the Office’s

person, categorized by underwriters, and submit it to the SEC Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph shall

securities to each person, categorized by underwriters, and submit it to the Office together with reports on securities sales results. The name list of the largest allocated persons under the first paragraph

of the securities company and shall be categorized into a margin account or a cash account, as the case may be. The client’s asset account under the first paragraph shall at least contain the following

requests for the postponement of the consideration and where the arbitrator deems it appropriate to postpone the consideration, such postponement shall not exceed two times. The arbitrator may charge the