policies in various areas such as product creation, product improvement, or production technology, and disclose the expenses incurred from such research and development over the past three years. In case of
and controlling system for acquisition and disposition of client’s assets; □ (3.3) System for verification and reconciliation of client’s assets to ensure accuracy and completeness; □ (3.4) System for
) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c) System for verification
shall have a clear principle in taking of purchase or redemption order of investment units and verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain
prevention of conflicts of interest between the management company and the unitholders; (7) the money borrowing or creation of encumbrances on a fund ’s assets; (8) the liquidation of a fund . In the case
as well. For example, for investment or encumbrance creation of mutual funds or private funds, it shall consider a process in settlement or delivery which may affect to an overall market system. For a
where such financial institution operates; (2) being a creation of obligation related to permissible investment of private funds in accordance with the Notification of the Capital Market Supervisory Board
securities, derivatives contracts, other assets, short sales, creation of obligations or seeking of interest or benefit by other means, as the case may be, which each type of funds can invest or acquire, as
appropriate to each type of cloud service employed for preventing threats and unauthorized access; (10) adopt the multi-factor user authentication for the administrator log-in page to the critical information
securities company shall provide information or evidentiary documentation related to verification of identity of its clients , the ultimate beneficiaries for the securities trading of the clients and the