securities business is lost or destroyed, the association related to securities business may submit an application for a substitute of the license. Clause 6 A license for establishment shall take effect on its
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or
the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in
consecutive years provided that the applicable time-on period does not exceed seven years. 2.2 In calculating the time-on period, has any key audit partner who acted in a combination of key audit partner roles
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
combination of the one as representative of investors , the one being securities or derivatives trading expert and the two appointed from the name list proposed by association . The committee shall appoint one
staff of the SEC Office. Additionally, those experts shall be the combination of the one as representative of investors , the one being securities or derivatives trading expert and the two appointed from
, securities index or any other variables as specified in the notification of the SEC with the approval of the Cabinet. “derivatives” means a contract having one or any combination of the following
under other laws incapacitating the management company from complying with the rules and conditions to be exempted; (3) the management company has other measures that are sufficient and may substitute the