| |
Type |
Title |
Section |
See Document |
Status |
Notified Date |
Effective Date |
|---|
| 1. |
Notification of the Securities and Exchange Commission Kor Thor. 18/2563 |
Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business |
|
   |
 | 20/07/2020 |
16/08/2020 |
| 2. |
Notification of the Securities and Exchange Commission Kor Thor. 13/2563 |
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 Derivatives Business In the Category of Derivatives Investmen |
|
|
| 01/06/2020 |
16/06/2020 |
| 3. |
Notification of the Securities and Exchange Commission Kor Thor 1/2560 |
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 Exchange Commission Kor Thor. 1/2560 |
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service |
|
|
|
12/01/2017 |
16/01/2017 |
| 4. |
Notification of the Securities and Exchange Commission Kor Thor. 1/2559 |
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 |
|
|
| 25/02/2016 |
01/04/2016 |
| 5. |
Notification of the Securities and Exchange Commission KorChor 1/2555 |
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558) (Codefied) |
|
|
| 20/02/2012 |
01/03/2012 |
| |
Notification of the Securities and Exchange Commission KorChor. 1/2555 |
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory |
|
|
|
20/02/2012 |
01/03/2012 |
| |  IOSCO CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING AGENCIES |
| | |
