governing determination of juristic person that is institutional investor; “derivatives exchange” means any derivatives exchange licensed by the Securities and Exchange Commission and shall also means any
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
, proportion of content and form of presentation in order that a client would be able to receive necessary and useful information for using the intermediary ’s service or for making a decision of investment in
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
Notification of the Securities and Exchange Commission regarding Determination of Definitions of Institutional Investor, Ultra High Net Worth Investor and High Net Worth Investor . “ private equity ” means a
on derivatives as specified by the list attached to the Notification of the Securities and Exchange Commission No. KorChor. 8/2553 Re: Determination of Untrustworthy Characteristics of Company
. ---------------------- The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 47/2546 Re: Determination of Fees for the Operation of Licensed Businesses
on dispute resolution by an arbitrator on the SEC Office’s list shall come into force as from 1 January 2016; (2) Clause 17, which relates to arrangement of agreement with clients on provision of
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
prevention of conflicts of interest between the management company and the unitholders; (7) the money borrowing or creation of encumbrances on a fund ’s assets; (8) the liquidation of a fund . In the case