in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect

” means a manager of the branch office or a person responsible for the operation of a branch office; “ fund manager ” means a mutual fund manager or a private fund manager who performs the duty of making

fund manager who performs the duty of making decisions on investment in or disposing of securities or any other asset except real estate, leasehold interest in property or seeking benefits by other

concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the

business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision

characteristics under (5) or (6) is appointed, the appointed person shall perform his duty only after his resignation from the position under (5) or (6), which shall be within thirty days from the date of

time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company

mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives

of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or services, more than those should

shall assign the capital market business personnel approved by the SEC Office under the Notification of the Capital Market Supervisory Board governing the Rules on Capital Market Business Personnel , who