Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service

Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service

Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service

Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor

Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service (Codefied)   12/01/2017 16/02/2017 Notification of the Securities and

or derivatives dealer.** Three related notifications are as follows: 1. The Notification of the Securities and Exchange Commission No. Kor Thor. 20/2566 Re: Prescribing Natures of Giving Advice to

and oversight that suitably apply to licensed corporations of different risk levels as well as diverse natures of business operation, organizational structure, business size, and complexity of the used

suggestions from securities firms of varying sizes and business natures to ensure fair and equitable representation of all stakeholders including securities firms throughout the value chain. We believe that

Securities and Exchange Commission  KorThor. 2/2560 Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor

points of the amendments are summarized accordingly: (1) Market Misconduct: categorizing the characteristics of misconduct to be clearer and applicable to wrongful acts of different natures, into four