cover at least the following matters: (a) procedure and method for trading of the securities trading center and the ranking and matching of trading orders; (b) types of securities eligible for trading in

trading system; (6) arranging disclosure of information related to trading which shall cover at least the following matters: (a) procedure and method for providing clear and fair access for service users

. There should be a system to control the dividend payment procedure to be reliable where the prospectus has specified that the payment may be made under different method. 3.3.5 The calculation and

least. [A] · Backup Information and frequency of preservation · Media · copy · Procedure and method in detailed · Place and method of media storage · Providing a log book of information preservation that

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for

basis for calculating fee, including method of payment of fee or other benefit for the investment advisory company; (9) procedure of filing complaint, name, address, telephone number of the person or

Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By

Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation

assets appraisal. 3.11 Intangible assets It shall disclose a valuation method determinate on book value prior to subtracted by accumulated write-off of assets, write-off procedure, utilizing lifetime or

capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included