Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
The live webinar features special lectures and CEO panel discussion to share views and experiences on business management in compliance with respect for human rights principles. The seminar agenda
inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this
and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this Notification. Clause 9 In cases where it appears to the SEC Office that
and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this Notification. Clause 9 In cases where it appears to the SEC Office that
an approval to issue and offer shares in such manner; (2) financial statements of a foreign business applying for issuance and offering of debt instruments in compliance with the following
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to
(Chinese Wall), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8
issued under or prescribing guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor. 10/2550 Re: Short Selling of Securities relating to ETF Mutual Fund, dated