positions for the clients by other law. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ______________________ Division 1 General Provisions _______________________ Clause 10 In
persons under (1) and (2) or may allow such persons to act differently from the provisions under Division 4: Register and Transferability of Chapter 2: Issuance of Securities or Section 88, in whole or in
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the
the performance of duties under this Act, subject to the rules specified in the notification of the Capital Market Supervisory Board. CHAPTER 2 DERIVATIVES BUSINESS DIVISION 1 SUPERVISION OF DERIVATIVES
market business shall be persons who do not possess the prohibited characteristics as specified in Chapter 7. Chapter 4 Application for Approval and Granting of Approval Division 1 Application for Approval