: Clause 1 In this Notification: " derivatives dealer " means a person holding a license to undertake a derivatives business in the category of derivatives dealer ; " institutional investor " means an
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
Commission Notification of the Securities and Exchange Commission No. KorThor. 45/2547 Re: Determination of Undertaking which is not Deemed to be A Derivatives Dealer By virtue of Section 3 and Section 9 of
Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities
. Notification of the Securities and Exchange Commission No. Kor Thor. 11/2553 Re: Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer _____________ By virtue
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
Clause 6 In this Notification: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered
: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ affiliated
5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following
inter-dealer brokerage company, and registered derivatives intermediary; “ intermediary’s board of directors ” means the board of directors of an or a committee assigned by the board of directors of an