through scripless system for all types of securities. • Where the depositor is an issuer, it shall be deemed that the issuer has prepared and delivered securities certificates to the buyers in accordance
details regarding the issues within this notification. This is to allow the clarification in practice and to allow the SEC Office to audit those practices. Clause 29. In case where it appears to the SEC
broker shall have examination system to ensure that the person order derivatives broker to proceed with the customer property is the actual owner of the account or is the person who is authorized in
broker shall have examination system to ensure that the person order derivatives broker to proceed with the customer property is the actual owner of the account or is the person who is authorized in
the client, as the case may be, in order to comply with the order of the derivatives exchange, the derivatives clearing house or the SEC Office in cases where it appears the following facts: (a
to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
advisability of trading in derivatives, and has been licensed or registered under this Act, excluding those persons whose giving of advice is solely a part of or an incidental to the conduct of business as a
advisability of trading in derivatives, and has been licensed or registered under this Act, excluding those persons whose giving of advice is solely a part of or an incidental to the conduct of business as a
it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a