| |
Type |
Title |
Section |
See document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Ministerial regulations 9/2540 |
(Synopsis) |
|
|
 | 26/06/1997 |
|
| 2. |
Notification of the Securities and Exchange Commission Kor Jor. 4/2560 |
Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor |
|
   |
| 08/02/2017 |
16/02/2017 |
| 3. |
Notification of the Securities and Exchange Commission KorChor. 9/2555 |
Determination of Definitions of Institutional and High Net Worth Investors |
|
|
| 09/07/2012 |
01/08/2012 |
| 4. |
Notification of the Securities and Exchange Commission KorDor. 29/2540 |
Rules, Conditions and Procedures for Securities Borrowing and Lending (Codified as of 25/10/06) (Synopsis) |
|
|
| 31/07/1997 |
19/08/1997 |
| 5. |
Notification of the Securities and Exchange Commission KorDor. 30/2540 |
Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities |
|
|
| 31/07/1997 |
|
| 6. |
Notification of the Securities and Exchange Commission KorDor. 28/2540 |
Application for a License to Undertake Securities Borrowing and Lending Business |
|
|
| 31/07/1997 |
|
| 7. |
Notification of the Office of the Securities and Exchange Commission SorThor. 39/2546 |
|
|
|
| 11/12/2003 |
11/12/2003 |
| 8. |
Notification of the Office of the Securities and Exchange Commission SorThor. 51/2544 |
|
|
|
| 12/11/2001 |
08/11/2001 |
| 9. |
Notification of the Office of the Securities and Exchange Commission SorThor. 72/2543 |
Re: Period of Time for Securities Borrowing |
|
|
| 27/12/2000 |
02/02/2001 |
| 10. |
Notification of the Office of the Securities and Exchange Commission SorThor 42/2540 |
Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to Non-Institutional Clients for Making Short Sale (Synopsis) |
|
|
| 04/12/1997 |
01/01/1998 |
| 11. |
Notification of the Office of the Securities and Exchange Commission SorThor. 20/2542 |
Re: Provisions Relating to Collateral of Securities Borrowing and Lending Transactions (codified as of 12/05/05) (Synopsis) |
|
|
| 04/10/1999 |
|
| 12. |
Notification of the Office of the Securities and Exchange Commission SorDor. 39/2540 |
Re: Characteristics and Material Information of Securities Borrowing and Lending Contract (codified as of 04/10/1997) (Synopsis) |
|
|
| 08/10/1997 |
|
| 13. |
Notification of the Office of the Securities and Exchange Commission SorDor. 38/2540 |
Re: Necessities for Securities Borrowing |
|
|
| 08/10/1997 |
|
| 14. |
Report/Form (Notification of Securities and Exchange Commission) |
|
|
|
| |
01/06/2008 |
| 15. |
Report/Form (Notification of Securities and Exchange Commission) |
|
|
|
| |
01/06/2008 |
| 16. |
Report/Form (Notification of Securities and Exchange Commission) |
|
|
|
| |
01/06/2008 |
| 17. |
Report/Form (Notification of Securities and Exchange Commission) |
Form 90-11 Application for a License to Undertake Securities Business in the Category of Securities Borrowing and Lending |
|
|
| |
|
| 18. |
Circular 3/2550 |
|
|
|
| 22/01/2007 |
|
| 19. |
Circular 27/2546 |
|
|
|
| 15/12/2003 |
|
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