derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However, should there be any

which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities

Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an

rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date on which the advice is given or order is placed, as the

. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the

authority of the Capital Market Supervisory Board; therefore, it deems appropriate to issue this Notification to replace Notification of the Securities and Exchange Commission Re. Rules and Periods for Report

may not be able to execute some types of orders, such as ‘stop-loss’ or ‘stop-limit’ orders, placed by the Client to limit his/her losses, since market conditions at the time the order is placed may

branch offices without restrictions being placed on the scope of allowed transactions and development of the service provision by using appropriate technology.

appropriate to issue this Notification to replace the Notification of the Securities and Exchange Commission No. KorNor. 57/2543 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result

underwriting, mutual fund management and private fund management shall be the power of the Capital Market Supervisory Board, it is deemed expedient that this Notification be issued to replace the Notification of