韩国证交所上市准则-membership regulation

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1、MembershipRegulationFormulatedonJanuary21,2005AmendedonAugust26,2005AmendedonOctober12,2007AmendedonJanuary28,2009RulesandRegulationsavailablefromthisEnglishversiondonotwarrantorassumeanyliabilityorresponsibilityfortheaccuracy,completenessorusefulnessofanyinformation.OnlyKoreanve

2、rsionshallbedeemedauthentic.TableofContentsCHAPTERI.GENERALPROVISIONS1§1.Purpose1§2.Definitions1CHAPTERII.CATEGORIESANDQUALIFICATIONSOFMEMBERSHIP2§3.CategoriesofMembership2§4.QualificationsofMember2CHAPTERIII.MEMBERADMISSION/WITHDRAWALANDCONVERSIONOFMEMBERSHIP4§5.ApplicationforMe

3、mbershipandExaminationandApprovalThereof4§6.CriteriaforMemberAdmission4§7.FinancialCriteria5§8.PaymentandDepositofAdmissionFees,etc.6§9.AdmissionDate,RevocationofAdmissionApprovalandNotificationThereof.6§10.VoluntaryWithdrawal6§11.ObligatoryWithdrawal7§12.NotificationofMembership

4、Withdrawal7§13.Successionofmembership7§14.TradingSuspensionandSettlementofUnsettledTrades8§15.RefundandTakeoverofJointCompensationFund8§16.Application,ExaminationandApprovalofMembershipConversion9§17.CriteriaforMembershipConversion9§18.Payment,DepositandRefundofConversionFees,etc

5、.9§19.ConversionDate,CancellationofConversionApprovalandNotificationThereof10CHAPTERIV.RIGHTSANDOBLIGATIONSOFMEMBERS11§20.ScopeofMarketParticipation11§21.SettlementofSecuritiesandExchange-tradedDerivativeTrades11§22.EntryintoSettlementEntrustmentAgreement11§23.ContributiontotheJo

6、intCompensationFund12§24.ContributionofIndividualClearingMembertoJointCompensationFund13§25.UseofJointCompensationFund14§26.PaymentofTransactionFees15§27.CompliancewithLawsandRegulations15§28.PrinciplesofGoodFaith16§29.ObservingtheAdmissionCriteria16§30.ReportingofFinancialStatus

7、16§31.DepositofFidelityGuaranteeMoney17§32.ReportingtotheExchange17CHAPTERV.MEMBERSUPERVISION20§33.RequestforSubmissionofInformation,etc.20§34.RequestforCorrectiveAction20§35.ReasonsforDisciplinaryMeasures20§36.DisciplinaryMeasuresagainstMembers21§37.PostponementorCancellationoft

8、heMeasuresTakenforUnsatisfactoryFinancia