}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2)
Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer
Re: Registration of Licensed Derivatives Business Operator in the Category of Derivatives Fund Manager
Registration of Derivatives Business Operator In the Category of Derivatives Advisor
Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory
Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer
Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of