or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other
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
broker means a person who provides services or holds itself out to the public as available to provide services as a broker or an agent for any person with respect to the trading or exchange of digital
broker means a person who provides services or holds itself out to the public as available to provide services as a broker or an agent for any person with respect to the trading or exchange of digital
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