derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel. Clause 4 In case an intermediary has appointed the
managing the assets possessed by the intermediary under receivership in accordance with the Bankruptcy Law. Clause 5 In proceeding with the actions under Clause 4(1), the official receiver shall render
possessed for a member” means: (1) assets that a derivatives clearing house receives from a member, whether it is owned by the member or its client, for use as collateral for derivatives trading; (2) assets
fact that the appraisal company or the person holding the position as prescribed in Clause 10(7) or any personnel submitting an application to be the lead appraiser has possessed prohibited
depository, as the case may be; (2) the power to direct or control acquisition, sale, or creation of encumbrances on shares; “assets received from or possessed for a member” means (1) assets that a securities
the capital market business and holding the position under Clause 5, Clause 6, Clause 8 or Clause 9 has possessed prohibited characteristics under Division 1, the SEC Office shall proceed as follows: (1
assets that can be invested and possessed by the mutual fund and the investment limit of such assets. In this regard, the information shall be divided into the group of assets of an infrastructure business
. Clause 336 In case a person obtaining an approval from the SEC Office to be personnel in the capital market business and holding the position under Clause 5, Clause 6, Clause 8 or Clause 9 has possessed