securities business in the category of securities dealing or securities underwriting or operating securities business in any of the following manners, for which the SEC shall specify the paid-up registered
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
licensed to undertake securities business under this Act. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory
of business, engages in the business of managing funds for others, or holds himself out to the general public as being ready to manage funds for others, with the intention of investing in derivatives
of business, engages in the business of managing funds for others, or holds himself out to the general public as being ready to manage funds for others, with the intention of investing in derivatives
management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
paragraph with intention, dishonesty or gross negligence. SECTION 31 In managing a trust, a trustee shall be prohibited to act in conflict of interest with the trust regardless of whether such act is done for
liability arising from failure to perform the duty under the first paragraph with intention, dishonesty or gross negligence. SECTION 31 In managing a trust, a trustee shall be prohibited to act in conflict of
trustee from liability arising from failure to perform the duty under the first paragraph with intention, dishonesty or gross negligence. SECTION 31 In managing a trust, a trustee shall be prohibited to act
this regard, there shall be at least two persons having experience in managing the company whose securities are listed on the Securities Exchange or the securities company. The Secretary-General shall