韩国证交所上市准则-MembershipRegulation

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1、KRX?KOREAEXCHZkNGEMembershipRegulationFormulatedonJanuary21,2005AmendedonAugust26,2005AmendedonOctober12,2007AmendedonJanuary28,2009RulesandRegulationsavailablefromthisEnglishversiondonotwarrantorassumeanyliabilityorresponsibilityfortheaccuracy,completenessorusefulnessofanyinformation.OnlyK

2、oreanversionshallbedeemedauthentic・TableofContentsCHAPTERI.GENERALPROVISIONS1§1.Purpose1§2.Definitions1CHAPTERII.CATEGORIESANDQUALIFICATIONSOFMEMBERSHIP…•…2§3.CategoriesofMembership2§4.QualificationsofMember2CHAPTERIII.MEMBERADMISSION/WITHDRAWALANDCONVERSIONOFMEMBERSHIP4§5.ApplicationforMem

3、bershipandExaminationandApprovalThereof4§6.CriteriaforMemberAdmission4§7.FinancialCriteria5§8.PaymentandDepositofAdmissionFees,etc6§9.AdmissionDate,RevocationofAdmissionApprovalandNotificationThereof.6§10.VoluntaryWithdrawal6§11.ObligatoryWithdrawal7§12.NotificationofMembershipWithdrawal7§1

4、3.Successionofmembership7§14.TradingSuspensionandSettlementofUnsettledTrades8§15.RefundandTakeoverofJointCompensationFund8§16.Application,ExaminationandApprovalofMembershipConversion9§17.CriteriaforMembershipConversion9§18.Payment,DepositandRefundofConversionFees,etc9§19.ConversionDate,Canc

5、ellationofConversionApprovalandNotificationThereof10CHAPTERIV.RIGHTSANDOBLIGATIONSOFMEMBERS11§20.ScopeofMarketParticipation11§21.SettlementofSecuritiesandExchange-tradedDerivativeTrades11§22.EntryintoSettlementEntrustmentAgreement11§23.ContributiontotheJointCompensationFund12§24.Contributio

6、nofIndividualClearingMembertoJointCompensationFund13§25.UseofJointCompensationFund14§26.PaymentofTransactionFees15§27.ComplianeewithLawsandRegulations15§28.PrinciplesofGoodFaith16§29.ObservingtheAdmissionCriteria16§30.ReportingofFinancialStatus16§31.DepositofFidelityGuaranteeMoney17§32.Repo

7、rtingtotheExchange17CHAPTERV.MEMBERSUPERVISION20§33.RequestforSubmissionofInformation,etc20§34.RequestforCorrectiveAction20§35.ReasonsforDisciplinaryMeasures20§36.DisciplinaryMeasuresagainstMembers21§37.PostponementorCancellationoftheMeasuresTakenforUnsa