Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as well as
Protection Policy applies to the business operators who have been licensed by the SEC Office, the market professionals who have been approved by the SEC Office, other persons approved by the SEC Office, as
from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the
Custodian dated 30 March 2001. Clause 2. In this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager
this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager” means a person assigned by director of a
private fund; “Management company” means any mutual fund management company and private fund management company; “Mutual fund management company” means any securities company licensed to undertake
securities company licensed to undertake securities business in the category of mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business
Office of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for the Undertaking of Derivatives Business for Licensed Derivatives Broker dated 22 December 2004, the Office of the
to rate or value as stipulated by the Notification of the SEC Office; (9) “ securities company ” means a securities company licensed to undertake securities business in the following categories