to have inclusive measure to prevent conflicts of interest. In addition, permissible securities trading will be limited to that executed with a view to managing risks associated with issuance of

without authorization causing damage to the client.    Reprimand: The SEC reprimanded {E}, a derivatives investor contact, and recorded her misconducts for future reference on account of soliciting and

reference. Notification of the Securities and Exchange Commission No. Kor Yor. 51/2547 Re: Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of

convenient access to paying agents have been allowed to reach out the investors. Furthermore, new types of mutual funds permissible to invest in a variety of assets have been introduced; for example, mutual

addressing potential damage from operational risks. For example, a lower ongoing capital requirement would be permissible specifically for intermediaries that only provide asset management services excluding

specific instruments are permissible such as debt instruments issued by foreign juristic persons or their subsidiaries, foreign currency denominated debt instruments issued by juristic persons established

reaching or passing the trigger points of 25, 50 or 75 percent of the total voting rights, such shareholder is allowed to purchase additional shares, in the amount permissible up to those trigger points

listed on a foreign stock exchange; 1.5 Investment units of foreign off-exchange traded mutual funds with the SEC?s permissible underlyings; 1.6 Foreign exchange-traded derivatives for hedging purpose only

condition that such advice is given for overseas investments through local securities firms in the case of retail investors. However, direct advice is permissible for the case of institutional investors. The

public or instruments in which a fund plans to invest without the need to apply for an investment advisory license. The services provided by the said foreign CRAs are, however, limited only to permissible