. Notification of the Securities and Exchange Commission KorThor/Nor/Khor 4/2548 Qualifications and Other Prohibited Characteristics of Executives of Securities Companies (Synopsis) 17/01/2005 01/03/2005 2
Prohibited Characteristics of Personnel in Capital Market Industry 15/09/2010 01/10/2010 4. Notification of Capital Market Supervisory Board 85/2552 03/08/2009 01/09/2009 5. Notification of Capital
10 In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − − ✓ Remarks: 7 Application must be submitted within 5 years as from
In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − − ✓ Only examination on related rules is required. − − ✓ Remarks: 6
renewal of approval.5 10 In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − ✓ Only examination on related rules is required
remark 1)2 10 In case of applying for work recontinuation after completing suspension term due to possession of prohibited characteristics. − ✓ Only examination on related rules is required. − − 11 In case
life or healthcare insurance and the money market fund with constant NAV are prohibited from applying for automatic approval. However, if a mutual fund management company files an application for
life or healthcare insurance and the money market fund with constant NAV are prohibited from applying for automatic approval. However, if a mutual fund management company files an application for
, the SEC will file a criminal complaint for further legal proceedings. Due to his misconduct, {A} is deemed to have prohibited characteristics of capital market personnel as specified in the
6(1) of the Notification of the Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2553 Re: Prohibited Characteristics of Capital Market Personnel dated 15 September 2010, which are in