required by the ethical requirements, the independence of both the firms and their personnel might be called into question if the process lacks proper documentation. Therefore, to unquestionably demonstrate
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
Fund > Management of Mutual Fund > Procedure for dissolution of mutual fund Regulations SHARE : Detail Content Management of Mutual Fund 19. Procedure for dissolution of mutual fund 19.1 Causes for
Fund > Management of Mutual Fund > Procedure for dissolution of mutual fund Regulations SHARE : Detail Content Management of Mutual Fund 19. Procedure for dissolution of mutual fund 19.1 Causes for
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
the shareholders' meeting (if his or her name appears in the register on the record date). Q: Is the resolution of the board's meeting required in the case that the board of directors refuses to