Chapter I General Provisions |
| Article 1 | These Standards are prescribed pursuant to Article 44, paragraph 4 of the Securities and Exchange Act ("the Act"). |
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| Article 2 | Each type of securities business that a securities firm may operate shall be reviewed and approved separately by the Financial Supervisory Commission (FSC) under the Act and these Standards, and shall be specified on the license of each securities firm. A securities firm may not operate any type of securities business until it has been approved and specified on the business license. |
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