monitoring the compliance with the policy and measures set in place; (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human resources promptly for
Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
for controlling and monitoring the compliance with the policy and measures set in place; (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human
that such person obtains approval as category A investor contact according to the qualification set forth in (2) of the second paragraph of Clause 4 and the approval period shall be equal to the
category of derivatives broker or derivatives fund manager or any company registered to undertake derivatives business in the category of derivatives fund manager. Clause 2. The derivatives business operator
Commission No. KorThor. 7/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer By virtue of Section 6, Section 9 and the third paragraph of
securities business in the category of mutual fund management; “Private fund management company” means any securities company licensed to undertake securities business in the category of private fund
in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
. 16/2551 Re: Granting of Approval for Undertaking Derivatives Business in the Category of Derivatives Broker Limited to Gold Derivatives _____________ By virtue of Section 9 and the third paragraph of