broker shall give suitable advice for customer and maintain the best interest of customer, as well as monitor and supervise that the giving advice is prepared and provided with generally accepted
broker shall give suitable advice for customer and maintain the best interest of customer, as well as monitor and supervise that the giving advice is prepared and provided with generally accepted
to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall clearly
, but there is a certain fact appeared to the SEC Office which is reasonably suspicious that the management company may not be able to efficiently supervise the conduct of its agent, the SEC Office may
as auditor in the capital market shall have the following characteristics: (1) having an audit quality control system which is sufficient and reliable for supervising its auditors’ work performance to
general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification of the Capital Market Supervisory
online branch office; (a) the general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification of
online branch office; 8 (a) the general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification
online branch office; 8 (a) the general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification
characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising the trading of capital market products by the employees, both for the investment of the