juristic person, agent, worker, employee, advisor or operator in a governmental agency, the SEC Office, the Securities Exchange, the over-the-counter center, or the Derivatives Exchange, who is in the
juristic person, agent, worker, employee, advisor or operator in a governmental agency, the SEC Office, the Securities Exchange, the over-the-counter center, or the Derivatives Exchange, who is in the
, the mutual fund management companies must complete the transactions within five business days from the date of accepting transfer orders from the unitholders. (5) In the case of fund dissolution, the
, the mutual fund management companies must complete the transactions within five business days from the date of accepting transfer orders from the unitholders. (5) In the case of fund dissolution, the
whether such service provider is borrower's or lender's counter party of agent. Undertaking securities borrowing and lending business under the first paragraph shall, however, not include the followings
selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name
selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о Securities Dealer о Derivatives Dealer • Advisor о
of the transfer restriction, features of bonds, draft terms and conditions and a bondholders' representative appointment agreement (in case of secured bonds/ bonds with a bondholders' representative