authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of
any person authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in
customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of derivatives broker from
Ministerial Regulation shall- (1) be a limited company or a public limited company newly established to operate securities business in the category of venture capital management; (2) have objectives limited to
: “foreign ETF” means collective investment scheme in the category of exchange- traded fund established under law of foreign jurisdiction; “home exchange” means exchange in foreign jurisdiction where units of
investment schemes established under the Act on Undertaking of Finance Business, Securities Business and Credit Foncier Businesses; (4) Credit foncier companies; (5) Insurance companies; (6) Juristic persons
Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of investment schemes established under the
person shall proceed with establishment of new limited company or public limited company for operating securities business in the category of private fund management as approved, and the newly established
life insurance; (c) any other financial institution as prescribed by the SEC Office; (3) “professional code of ethics” means: (a) professional code of ethics established by the Federation of Accounting
infrastructure fund established under the Notification of the Capital Market Supervisory Board concerning rules, conditions and procedures for establishment and management of infrastructure fund; “management