custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
. In taking custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in
assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner that is
246 shall be in accordance with law of foreign jurisdiction where home exchange is located. Clause 6 The provisions relating to criteria, conditions and procedure for business takeover shall not be
. Notification of the Securities and Exchange Commission No. KorNor. 1/2554 Re: Rules, Conditions and Procedure for Borrowing Money and Encumbering the Asset of Infrastructure Mutual Fund
Office of the Securities and Exchange Commission No. SorChor. 27/2552 Re: Form and Procedure for Filing of Information or Change of Information on Directors and Executives of Securities Issuing Companies
defaults of debt instrument issuers Exercise of voting rights in a shareholders’ meeting Dividend payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed
payment Fees Procedure for dissolution of mutual fund Relaxation of rules Additional rules for guaranteed funds Additional rules for a retirement mutual fund (RMF) Additional rules for foreign investment
been granted a license under this Ministerial Regulation shall comply with criteria, conditions and procedure specified by the SEC and shall maintain the formation and proportion of shareholding as
offenders have the right according to criminal justice procedure to clarify and present information and evidence to the respective authorities. In any case, the filing of a criminal complaint commences the