consideration a suitability of provider, including control and inspect the compliance of the provider strictly in order to assure that the provider is able to comply with the regulation prescribed by this
of any act, willfully or negligently, of the service provider; (2) Conditions and guidelines for the contract termination or suspension of service; (3) Service fees rate. Clause 9. In order to assure
provider; (2) Conditions and procedures for the termination of contract or suspension of service; (3) Service fees rate. Clause 7. In order to assure the capability of the securities company in undertaking
operate for a period in order to assure that a functionality having an efficiency, the assessment system is correct and complete and satisfies the need of user. [A] 2.7 Communication of alteration
. ------------------------------- The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 20/2547 Re: Rules for Derivatives Fund Management ______________________ To assure investors
interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind
prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur
presented in the latest audited financial statement is in a positive position. If there is a capital increase after such financial statement, the increased amount could be added to the shareholders’ equity
Market Supervisory Board, or the Office of the Securities and Exchange Commission has recommended any investment in the securities nor shall they assure the value or returns on the securities being offered
decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution: O Yes (please specify) I am or have been an executive of ……………….……… which was