Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type

Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type

The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)

Repeal of Notification of the Securities and Exchange Commission concerning Maintaining Capital of Securities Company in the Category of Securities Finance Business

Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the Category of Securities Finance

Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service

Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor

asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a

asset report will be more flexible in that the report must be sent within 5 working days of the following month to the clients or at least once a year to the clients who have been inactive for more than a