for preventing and suppressing unfair acts related to derivatives and inappropriate derivatives trading behavior, which shall meet at least the following requirements: (1) establish the rules that
specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company
client’s derivatives trading is inappropriate or may contravene the Law on Derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or
to deviate from normal market conditions; (b) the client’s derivatives trading is inappropriate or may contravene the Law on Derivatives3; (c) the client fails to notify, provide information or prepare
to believe that there is a materially inappropriate demeanor [i] affecting clients, investors, the company, shareholders as a whole, money market or capital market on a whole as specified as prohibited
, upon its discretion, demote the action to be taken to reprimanding inappropriate conduct. Chapter 2 Consideration of the Third Category Prohibited Characteristics ___________________________ Part 1
to procure, for himself or the other person, any advantage to which he is not entitled by law. 15 (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i
historical A-15 transition or default rates inappropriate, statistically invalid, or otherwise likely to mislead investors or other users of credit ratings, the CRA should disclose why this is the case. B. The
which is the case of having inappropriate behaviors in regard to serving customers, investors or capital market as a whole in significant matters which may affect the creditability of asset appraisal in