securities business, derivatives business or any other business of financial service or participates or supports or having participated or supported such act of other person; (2) there are reasonable grounds
information or documents already disclosed on the Company's website and the progress report of similar work submitted to any other anti-corruption project such as CAC wherein the Company participates. 11
participates in anti-corruption projects such as CAC which require similar procedure, the Company may disclose the proceeding or progress report by referring to the operation under such projects. 13. Internal
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
1(1) only. With respect to the calcuation of the amounts under Paragraph 1(2) or (3), where the intermediary engages in the business of investment advisory service as well as the derivatives advisory
or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an
manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
engages in proprietary trading shall determine policies, rules and procedures for such matter in accordance with Clause 12(1) of the Notification on Standard Conduct of Business clearly in writing upon