Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (Translation) -2- (6) Juristic persons established under
of Professionals undertaking the activity of investment advice from Home Jurisdiction to Host Jurisdiction within ASEAN region. A significant measure set out in this framework is providing “ACMF Pass
). operation only when the SEC Office verifies that: (1) the licensee has arranged for the work system and personnel to be ready in undertaking the business as shown in its application except where there is any
) negative image to the management company; (b) breach or failure to comply with the laws which may affect the overall creditworthiness in undertaking business. Clause 4. A fund management operation system
management company; (b) breach or failure to comply with the laws which may affect the overall creditworthiness in undertaking business. Clause 4. A fund management operation system shall comply with the
of the Securities and Exchange Commission No. SorKhor./Nor. 4/2549 Re: Operating System Relating to the Undertaking of Fund Management Business By virtue of Clause 2 (1) and Clause 19 of the
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for
the Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange
the Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange