RI Client Solutions Book PUBLIC PUBLIC PUBLIC PUBLIC PUBLIC PUBLIC Environment Society Company PUBLIC o o o PUBLIC o o o o ° PUBLIC o o o
Microsoft Word - S_2019_GRC-02_025_S43 Share Acquisition_EN Page 1 – Translation – GRC-02/2019/025 11 December 2019 Subject: Report of the Asset Acquisition To: President The Stock Exchange of
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who
services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money laundering legislations, or where the know-your-client
legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC/CDD) (4
of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2
Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the
invest in capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights
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