business day of the month following the month in which the appointment or the termination of appointment of representatives occurs. Clause 4. This Notification shall come into force as from 1 February 2008
and Exchange Commission No. SorThor. 4/2543 Re: Calculation and Report of Net Liquid Capital Calculation (No. 3) dated 4 February 4 February 2000; (4) Notification of the Office of the Securities and
the Securities and Exchange Commission No. Kor Mor. 13/2560 Re: Determination of Fees for Undertaking Businesses according to Licenses (No. 2) dated 20 February 2017; (3) Notification of the Securities
management on the last business day of each month; (b) in the case where a mutual fund management licensee invests in or holds investment units of other funds under its management as an asset of the mutual
1. This Notification shall come into force as from 1 January 2001. Clause 2. In this notification, unless the contrary intention appear, “Securities” means the securities which are not debt
Clause 16 shall come into force from 1 January 2002. (see note attached hereto) Clause 2. The followings shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No
is found and shall record the cause of each correction. Clause 14 A securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the
report with the Office on a monthly basis through Form Bor.Lor. 2 and Table Bor.Lor. 2/1 as attached to this Notification by the fourteenth day of the following month. (2) Report on margin accounts: Only
) dated 28 February 2005; (2) Clause 16 of the Notification of the Securities and Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Securities which are Debt
operator shall prepare reports of financial status and operating performance on a monthly basis, and file them with the SEC Office within the fourteenth day of the following month; (2) the business operator