Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing / Registration • Brokerage о Securities Brokerage о
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
inconsistent with the normal market condition. ( Section 244/5 ) Acts not presumed to have caused the securities price to be inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or
inconsistent with the normal market condition. ( Section 244/5 ) Acts not presumed to have caused the securities price to be inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or
: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities/derivatives Statement report Confirmation note Transfer form Other documents such as a copy of share
investors purchasing securities – the company is required to have appropriate qualifications and disclose sufficient information for investors to make an informed investment decision. Existing shareholders
the fund management company reserved the rights (only for accepting purchasing orders) as provided for in the scheme. (4) For the mutual fund that invest in foreign countries : (4.1) The stock
the fund management company reserved the rights (only for accepting purchasing orders) as provided for in the scheme. (4) For the mutual fund that invest in foreign countries : (4.1) The stock
on the nature of the offence, for further investigation and gathering of evidence. If the inquiry official deems a contravention of relevant law has occurred, the case shall be forwarded to the Office