governance policy and complying with such policy on a regular basis.Institutional investors may adopt the I Code on a voluntary basis, and may adjust the principles in line with the business nature of each
as a growth incentive. For example, investment of institutional investors in ESG complying companies, ESG education of capital market business personnel, investors and the public, and activities of
application for additional securities business licenses it has not yet obtained by complying with rules and procedures prescribed in this Ministerial Regulation. [Amended by the Ministerial Regulation No.17
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying
the engagement team; (b) having the competence and capabilities, including sufficient time, and the appropriate authority to perform EQR; (c) complying with relevant ethical requirements, including in
the operation significantly ; (B) the issuers use the proceeds from the sale of securities not in line with the declared objectives, or not complying to the provision under section 81 (of the
the operation significantly ; (B) the issuers use the proceeds from the sale of securities not in line with the declared objectives, or not complying to the provision under section 81 (of the
encouraged to give more emphasis to ESG considerations as a growth incentive. For example, investment of institutional investors in ESG complying companies, ESG education of capital market business personnel