Article NO. Content

Title:

Regulations Governing Securities Firms Accepting Orders to Trade Foreign Securities 

Amended Date: 2020.09.08 (Articles 2, 3-1, 4, 6-1, 6-2, 6-3, 6-4 amended,English version coming soon)
Current English version amended on 2017.10.06 
Article 4     To operate the business of brokering trades in foreign securities, a securities firm shall comply with the provisions of Article 41-1 of the Standards Governing the Establishment of Securities Firms, and shall forward the required documentation to the securities dealers association for review and to be further forwarded to the Financial Supervisory Commission (FSC) for approval. It shall also require permission from the Central Bank.

Interpretation:

Relevant Laws: