Clause 6 In this Notification: “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
capital management; (c) securities borrowing and lending; (d) inter-dealer brokerage. (2) those persons appointed to perform functions at overseas branch office or overseas representative office; (3) the
following cases: (1) those persons appointed by an intermediary in the following categories: (a) securities finance; (b) venture capital management; (c) securities borrowing and lending; (d) inter-dealer
, unless an exemption is granted by the SEC Office on the ground that the offering is necessary, reasonable and adequate measures have been adopted to prevent such non- compliance; (7) there are no grounds
minimum amount which, in the reasonable opinion of the directors of the issuer, must be raised by the offer of shares. 4. If the proceeds are being used directly or indirectly to acquire or to refinance the
& Research analyst ✓ ✓ Broker – Dealer representative (such as sales person) ✓ Fund manager ✓ Explanatory text o Generally, type of Professionals carrying out the investment advice activity under this
e-service Online Submission Derivatives Dealer >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 7/2560 16/02/2017
01/03/2017 2. Notification of the Securities and Exchange Commission KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer