function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business ; “ client ” means user
. · Indications that the client might be involved in any criminal activities. · The reasons for the proposed appointment of the firm and nonreappointment of the previous firm. · The identity and business reputation
clearly be identified that they are forged; (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose occupation or business is classified by
issued thereunder; which may discredit securities or derivatives business in general or may cause damage to its reputation, status of business operation or client of such business, as the case may be. Form
________________ Clause 13 5 A securities company licensed to undertake the securities brokerage business shall do fundamental analysis report and provide such information to client, provided that such process shall
on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is
Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its business and provides services for a client
securities company shall send a report on a client’s assets as of the last business day of each month to the client within the fifth business day of the following month, except the month where no transaction
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
result of the performance to the client in accordance with Clause 43(3) of the Notification on Standard Conduct of Business by sending a confirmation statement with details specified by the Association