regularly revise the suitability of the credit rating selected, specifically, in the case where credit rating assessed by other credit rating agencies is changed. Securities company shall make and keep
consultation on capital market product having high-risk or complex characteristics only specifically to investment unit and debt instrument having high-risk or complex characteristics ; (c) complex instrument
company or its subsidiary which may be misleading or in concealment of the any material fact which should have been expressly disclosed which may affect the decision of shareholder, investor or related
act or a transaction with a third person, a trustee shall notify the third party in writing that it acts in trusteeship and expressly stipulates the information as such in the evidence of the juristic
consultation by incorporating in-depth information on each client in order to specifically plan and provide investment consultation on capital market product in line with the risk tolerence and the investment
countries; (2/1) giving advice by foreign derivatives business operators which is specifically intended for institutional investors and concerns derivatives contracts overseas in which institutional investors
Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms
than the report as specified under the first paragraph, in case the offeror has seperated some shares specifically allocated to the patron , the offeror shall prepare a name list of 200 persons receiving
restricted to offer investment units for sale specifically to institutional investors , ultra-high net worth investors , high net worth investors and big retail investors ; “ accredited investor fund ” means a
denominated in foreign currency specifically prescribed by this Notification are different from the rules prescribed in the Notification on Standard of Business Operation , the intermediary shall comply with