transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage conflict of interests. The company must not be dependent on the business of a person who may have a conflict of
plaintiff, including the expenses relating to Class Action. (The amount of the award must not exceed thirty per cent of the amount that the plaintiff and the members of the class have the right to receive
of the amount that the plaintiff and the members of the class have the right to receive). The award may induce the counsel to take part in the case and to facilitate the Class Action litigation for the
: Clause 1 Any securities company obtained some but not all of the securities business licenses in the category of securities brokerage, securities underwriting and securities dealing, may file an
; 3. T he investment policy shall not be specified with the features of a feeder fund under the Notification on Investment; 4. The mutual fund shall not have the policy to invest in derivatives or
; 3. T he investment policy shall not be specified with the features of a feeder fund under the Notification on Investment; 4. The mutual fund shall not have the policy to invest in derivatives or
three years preceding the year of filing application toward the date of obtaining the license, not have criminal records indicating commission of offense under the law controlling business operation of
company, to make it clear that an outside person who does not have access to internal information will make the purchase order. EJIP accounts must be separated from personal accounts for clarity and
may not occur again in the future Public Offering (PO) Secondary Public Offering (SPO) Private Placement (PP) of shares: in case of a non-listed company in the stock market Offer to sell shares at a
the category of securities brokerage, securities underwriting and securities dealing, may file an application for additional securities business licenses it has not yet obtained by complying with rules