/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
such inside information; (4) Director, sub-committee member, representative of a juristic person, agent, worker, employee, advisor or operator in a governmental agency, the SEC Office, the Securities
such inside information; (4) Director, sub-committee member, representative of a juristic person, agent, worker, employee, advisor or operator in a governmental agency, the SEC Office, the Securities
transfer orders from the unitholders. (5) In the case of fund dissolution, the mutual fund management company shall transfer the units to other RMFs without charging any fees. (6) In the case that the
transfer orders from the unitholders. (5) In the case of fund dissolution, the mutual fund management company shall transfer the units to other RMFs without charging any fees. (6) In the case that the
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
personal data from you directly. The SEC Office receives your personal data from a company or agent that you have delegated to proceed by using the system. The SEC Office receives your personal data from the
2019 whereby clients will no longer be able to purchase, sell or trade digital assets via Bitcoin website ( SEC News No. 105/2019 ) SEC warns BX clients to keep away from unsolicited transfer of
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing