securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and

and underwriting of investment units and securities borrowing and lending.  This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is

” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian

juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian. “Institutional investor” means: (1) Commercial

the third and fourth quarters, the Company continues to maintain quality in lending to customers who have the potential to re-pay, as well as there is continual growth of factoring loan. 3. Non

The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that

with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is

with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person that is

with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is Mr

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of