Approval for Undertaking of Derivatives Business (No. 3)
Re: Rules, Conditions and Procedures for Approval of Securitization Projects
The Approval of Personnel in the Capital Market Business
The Approval of Personnel in the Capital Market Business
concerning Rules on Application for Approval and Granting the Establishment of Branch Offices of Intermediaries . Clause 39 In providing services for acceptance of trading orders of capital market products
) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association1, with an approval of the SEC Office, except
) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association1, with an approval of the SEC Office, except
the law*. The SEC, therefore, sanctioned the said four persons and the executive by suspension the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns
to complete the transactions. The client had given prior consent to her act claiming it was inconvenient to affix signature in person at the time. Despite no intention to conceal information in the
resolved to propose that the 2018 Annual Ordinary General Meeting of Shareholders to be held on April 20, 2018 consider granting approval for the Company to execute the Agreement for Engagement of CH