reference. Notification of the Securities and Exchange Commission No. KorThor. 26/2560 Re. Determination of Paid-Up Registered Capital of Licensed Operators to Undertake Derivatives Business By virtue of
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
connected person of a private fund management company shall be in accordance with the specific rules prescribed under Clause13; (3) the determination of the investment policy of a private fund investing in
unitholders and the management company and the resolution of the unitholders. Clause 6 A management company shall establish a system for the administration and the management of a fund which covers at least the
institutional investor under Section 3 and the Notification of the Securities and Exchange Commission concerning Additional Determination of Type of Juristic Person Classified as Institutional Investors . Chapter
. ---------------------- The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorThor/Nor/Yor. 47/2546 Re: Determination of Fees for the Operation of Licensed Businesses
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
on dispute resolution by an arbitrator on the SEC Office’s list shall come into force as from 1 January 2016; (2) Clause 17, which relates to arrangement of agreement with clients on provision of
trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial instruments; (7) The determination of guideline for complaint acceptance and
Securities and Exchange Commission No. Sor Thor. 18/2563 Re: Holidays of Securities Companies and Derivatives Business Operators for the Year 2020 (No. 2) Whereas the Cabinet has passed the resolution