Rules in Detail on Communication with and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of Intermediaries
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
Derivatives Business Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established
Currently, the IPO regulations specify that an IPO applicant shall not get involved in any illegal business without specifically defining the term. Thus, the term can be broadly interpreted and may
being representative of such person, and so on: O yes (please specify in detail) …………………………; O no; 1.3 Working in the position applied for approval: O full time O part time 2. Personal information in
, such as being representative of such person, and so on: O yes (please specify in detail) …………………………; O no; 1.3 Working in the position applied for approval: O full time O part time 2. Personal
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________ By virtue