, placing of collateral, payment of debt under derivatives and any other details related to such procedures as well as compliance with foreign derivatives exchange rules for derivatives trading; (3) complying
parties and personnel responsible for the communication under clause 4(3). Clause 6 In complying with business continuity policy and business continuity plan, intermediaries shall comply as follows: (1
parties and personnel responsible for the communication under clause 4(3). Clause 6 In complying with business continuity policy and business continuity plan, intermediaries shall comply as follows: (1
) complying with laws and notifications relating to establishment and management of infrastructure fund applicable to securities company, mutatis mutandis; (2) performing the duty in accordance with code of
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
market; the SEC must ensure transparency, fairness, and the integrity of its own operation. Complying with corporate governance (CG) practices, therefore, is one of the key obligations to which the SEC has
, 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