and registered with the Office, whose main objective is to promote and develop securities businesses in the category of investment management; “Customer” means any person who authorizes a management

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

issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation, or have been stipulated such requirement but it is

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

institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending

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

) keeping such stored information according to the specific periods as prescribed by other particular notifications (if any). Chapter 4 Prevention and Management of Conflicts of Interest

; “ 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

established by a specific law with an objective to undertake businesses; “Association” means any association relating to securities businesses which has been approved by and registered with the Office and whose