” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by

specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.

specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.

decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by whichever name of position of such person is called

financial statements; (4) re-examining and reviewing compliance of rules; (5) supervising the internal control unit; (6) performing any other duties assigned by the SEC. In executing the duties under the

, such information shall be revised and updated completely before cancellation of the suspension thereof; (5)( In cases where the value, method or procedure for executing transactions, making payments or

undertake securities business in the category of private fund management; “Securities company” means the followings: (1) Management company; and (2) Securities company performing the duties of brokerage

company” means: (a) Management company; (b) Securities company performing the duties of brokerage, dealing or underwriting of investment units; (4) “Management company” means any mutual fund management

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or performing any other act relating to derivatives trading of