SEC Office to be an executive of the derivatives business operator in the new position or power; in addition, the derivatives business operator shall notify and submit a written documents specifying

, duties and responsibilities between the securities registrar and the securities issuer; (5) positions, number, power and duties of the employees who will work at the unit responsible for providing services

. In case of absent of the branch office manager under the first paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean

. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the

company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment

Clause 4(1)(a) or Clause 4(2), a derivatives broker shall act as follows: (1) cease any derivatives trading which may result in entering a new derivatives position for such client except for any

knowledge and understanding of the general law governing professional practices. Directors, managers and persons with power of management who are responsible for the work unit relating to the functioning as

controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger

licensed to undertake securities businesses under the law on securities and exchange; “Executive” means director, manager or person with power of management; “Person with power of management” means executive

. Guidelines 1. In the case where the mutual fund has changed the management company/the mutual fund supervisor, the management company should coordinate and prepare to deliver the information to the new