obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of intermediary not to comply with any requirement under this Notification
the category of any intermediary or capital market products ; (2) issuing the Notification, by having obtained an approval from the Capital Market Supervisory Board, to allow exemption for some kinds of
securities and the amount of money paid for securities which have been purchased by the underwriter as well. The report as referred to in the first paragraph shall be made in accordance with the rules and
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
case may be; (1) Management company obtained the soft commission from any person for its own account, deriving from the service offered by such person concerning the management of fund; (2) Management
institution established in accordance with other laws, and after having obtained a license from the Minister upon the recommendation of the SEC. The formation of a limited company or of a public limited company
Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal
license. Chapter 3 Conditions for Compliance after Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following
) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a