investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically

confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position limit of their clients, the

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

has consented; (3) Clearly determining the customer’s rights particularly the right to receive information with respect to derivatives fund management; (4) Having necessary information and warnings

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

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

continuing a relationship, which should be discontinued. 7 Does the firm have any particularly risky clients or risky industry (e.g. Finance and Securities, Banking, Insurance, Energy & Utilities, Mining

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