responsible for services relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
Conduct Fees Related Circular Letter Securities Brokerage Business Business Operation Rules Securities Underwriter Business Business Operation Rules Securities Dealer Business Business Operation Rules
Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking
Printable Format - Laws and Regulations Guideline on the commencement for operation of securities / derivatives business
Work System, Contact with Investors and General Business Operation of Trustees
Rules, Conditions and Procedures for Controlling Operation of Securities Underwriting (No. 3)
Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party