having any circumstance which may cause an impact to the financial status or the operation of an applicant; (3) at least one of the directors has at least 3 years of work experience relating to buying or
of interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for
function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business ; “ client ” means user
, business manner or circumstance, and services providing; (3) provides quality services [to the client ] and treats the client fairly and equally by taking account of types, nature and conditions of the
is an affiliated company ; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the outsource operator is an affiliated company ; (5
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time, business manner or circumstance, and
investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
of share dividends; (f) conversion of securities; or (g) any other circumstance. (3) terms regarding restitution for compensation similar to the aforementioned circumstances to counterparty which have