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programs focused on mindset adjustment to enhance staff and management abilities to harness changes and challenges on a timely and efficient manner. Toward long-term goals The SEC will continue to implement
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to appoint new personnel having qualifications as specified in Notification of the Capital Market
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval
e-service Online Submission See canceled document Investment Advisory >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Derivatives Advisors >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Limited BDU >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital