Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)
category of exchange-traded fund established under law of foreign jurisdiction; (2) “units of foreign ETF” means units of foreign ETF issued in form of shares; (3) “home exchange” means exchange in foreign
pattern, and earnings streak are interchangeably used throughout the paper. By these words I mean a string of consecutive increases in quarterly earnings defined in section 4.1. 3 in turn, leads to a
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
) dated 14 December 2016. Clause 2 In this Notification: “derivatives Broker” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
of Derivative Services by Securities Companies. Division 2 Additional Rules for Securities Intermediaries in the Category of Mutual Fund Management or Private Fund Management _______________________