, operational management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives
the client . Division 2 Measures for preventing and managing conflicts of interest _____________________________ Clause 17 An intermediary shall determine the policy, in writing, pertaining to
securities trading to the subject securities companies within the fifteenth day of the following month, including other information pertaining to such securities trading account which is beneficial for
from the Office prior to such expansion or change. In the case where the management company has been permitted to establish a branch office which is not an online branch, the management company shall
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
position to be as required by the rules, and receives the permission from the Office to expand their business operation For the purpose of the first paragraph hereof, “Expansion of operation” means: (1
intermediary shall determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such
pertaining to the bonds thereof, the intermediary shall disclose information to clients in accordance with the following criteria: (1) disclose information on risks and characteristics of the bonds by one or
in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business to give advice pertaining to the bonds thereof, the intermediary
responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 33