S Korea – FIA Investment Compliance Manual Re: Short Selling

S Korea – FIA Investment Compliance Manual Re: Short Selling

On 31 December 2024, SK FIA revised compliance manual for investment firms.

  • SK FIA revised Compliance manual for financial investment firms - asset management.

Overview of Revisions

  • Add sections re responsibilities structure, concurrent and ancillary businesses of collective investment business operators under the internal control standards chapter.
  • Short selling, precautions for lending/managing collective investment assets under instruction, execution of collective investment asset management chapter, inspection cases, FAQ under repurchase/termination of collective investment schemes chapter.