management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
; “ mutual fund for a specific purpose ” means any mutual fund established under the following Notifications: (1) Notification of the Capital Market Supervisory Board regarding Rules, Conditions and Procedures
on securities and exchange(SC); □ A life insurance company under the law on life insurance business; □ A financial institution established under specific law according to the Notification of the
with power of management of a partnership or a limited company in which such person himself or any person or partnership or limited company as specified in Section 258(1), (2), (3), (4), (5) or (6) is a
, directly or indirectly, more than fifty percent of the issued shares of, or more than fifty percent of the partnership interest in, such juristic person; (c) private fund of persons in the relationship under
currency in the following matters: (1) General Provisions related to Providing Services shall be as set out in Chapter 1; (2) Specific Provisions related to Providing Services of Inbound Products which are
Provisions related to Providing Services shall be as set out in Chapter 1; (2) Specific Provisions related to Providing Services of Inbound Products which are Debentures Denominated in Foreign Currency shall
advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow
Commission No. Kor Thor. 4/2557 Re: Ongoing Capital Adequacy of Some Specific Intermediaries dated 5 June 2014; (2) Notification of the Securities and Exchange Commission No. Kor Thor. 12/2560 Re: Ongoing
association related to securities business applying for establishment; (2) the most recent certification of registration of the founding securities companies issued by the Office of Partnership Registration