supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the securities company within thirty days as
. and no later than 9.00 P.M. and shall open on holidays and during the said hours by notify to the Office in advance; (2) in any cases other than (1) the securities company shall extend its opening hours
management and supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker within
information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from
private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
assets in accordance with the principle of fairness and consistency for all funds under its supervision, as specified by the rules and procedures of the Association upon the approval of the Office; (h
be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In
termination of contract, as the case may be, in the form as specified by the Office in advance. Clause 9. In purchasing investment units under clause 8(3), mutual fund management company shall operate with