result from the operation of an infrastructure business or the operation of any other assets acquired through the operation of an infrastructure business; (d) the right of claim in a sales and purchase or
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
has specified in its scheme the real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and management of property funds; (8
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal
license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
Board concerning Rules on Personnel in the Capital Market Business . Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be
, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1