Consideration of the application for opening of the derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one
executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange
Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business; (4) The licensee of derivatives business license type Sor-1 which
qualifications under Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business except the licensee of derivatives business license
additional steps as follows: 2.1 put in place, if no longer required, a removal process of information stored on media to prevent information leakage; 2.2 define media disposal procedures when no longer
management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and
. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of
. KorNor. 15/2543 Re: Rules, Conditions and Procedures for Approval of Private Fund Custodian dated 4 April 2000, the Office of the Securities and Exchange Commission hereby issues the following regulations
account of necessary and reasonable cause, in accordance with steps and procedurse specified in the public handbook; (4) submit a notice of result of such implementation to the SEC Office within two
Clause 4/1 of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt