The Approval of Personnel in the Capital Market Business
Rules on Personnel in the Capital Market Business
Sales Report Shelf Approval Outstanding Domestic Debt Enforcement Fundraising Securities Issuing Companies Takeover Professionals Intermediaries Search-for-related-personnel Mutual Fund Report and
The Repeal of Notifications related to Directors, Managers and Other Personnel of Securities Companies and Derivatives Business Operators
outstanding shares of an applicant for derivatives clearing house license; (b) a juristic person who holds no less than fifty percent of the total outstanding shares of the juristic person under (a). Chapter 1
Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter Executives of securities companies and personnel in securities business |- Approval and
holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For
applicant who holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 (Translation) Part 3: Purpose of submitting an
approval for him as capital market business personnel for four years, starting from 29 January 2021. As a result, he is also banned from holding the positions of director and executive of capital market
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary