Securities Companies to Proceed with Customer Complaints dated 1 February 2002 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are
Companies to Proceed with Customer Complaints dated 1 February 2002 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are neither
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
or submit additional documents evidence as appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that (Translation) -4- such applicant
evidence as appropriate within the specified period. If the applicant fails to comply or proceed as required, the Office shall deem that such applicant does not intend to apply for an approval to be listed
this regard, the securities company shall comply with the rules as prescribed in Clause 6, Clause 7 and Clause 8. Clause 6 A securities company engaging in short selling shall proceed or arrange its
shall proceed or arrange its client to comply with the following rules in order to deliver ETF units or underlying shares of ETF according to the short selling transactions within the period as specified
prescribed in Clause 6, Clause 7 and Clause 8. Clause 6 A securities company engaging in short selling shall proceed or arrange its client to comply with the following rules in order to deliver ETF units or
SEC Office shall proceed as prescribed by the Notification of the Capital Market Supervisory Board governing the prohibited characteristics of the personnel in securities business. 5 Repealed by the