Exchange Commission. Clause 2. In cases where any independent director of a securities company passes away or resigns or his/her approval is revoked by the Office, the securities company shall appoint a new
executive as follows: (1) In cases where a derivatives business operator appoints a new person as director or manager, or in other cases than (2), the derivatives business operator shall submit the following
place; and (2) in cases where the person appointed as a fund manager is an employee of the investment management company, holding a position having either of the following characteristics: (a) a position
such statement; (3) the statement of claim is incomplete or unclear, the claimant shall make correction or addition within thirty days from the date on which the Office notifies the claimant. In cases
on which the Office notifies the claimant. In cases where the claimant does not make correction or addition within such period of time, it shall be deemed that the claimant no longer intends to proceed
foreign ETF are listed, and in cases where units of foreign ETF are listed on several exchanges, it shall mean the exchange specified by foreign ETF as home exchange; 2 Chapter 1 Application for Examination
. Clause 3 The preparation and disclosure of information in the financial statements shall comply with the accounting standards specified by the Law on Accounting. 2 In cases where the preparation or
business operators with similar characteristics that may inadvertently exceed their licensed scope. Such cases could lead to disqualification and potential license revocation, which could affect a large
is barred from serving as director or executive in securities issuing companies or securities companies for 14 months. In all cases, civil sanctions, as imposed by the CSC, will take effect when