and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

shall procure an information management system to ensure that the information relating to the undertaking of the derivatives business, in the form of both paper and electronic data, is accurate, complete

2/1: (1) providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal control system in respect of giving advice

, call center or other distribution via various media. 5.3 Required resources for operation Companies should prepare or procure required resources for operation, such as procurement or determination of

in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means.          (As amended by Section 3 of the Securities and

of having negotiation. In case where the consideration of the compliant about the securities investment advice or securities investment negotiation is not finish within specified period of time, the

any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise

complete information handed over to the intermediary as requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of

assets, accounting policy on expenditure forecasting of place renovation after using finish property, plant and equipment and in case of using value assessment as revaluation, it shall identify rules of

fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company