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References

The FSS issues publications on various supervision topics in English from time to time as part of its public service and commitment to making Korea’s financial regulation and supervision more accessible to a wider audience at home and abroad. To view the publications, please click on the name of the publication or the accompanying PDF.

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  • Short Sale Rules in Korea

    January 13, 2013
    Short Sale Rules in Korea gives a quick summary of short sale rules. It covers the basics of short selling including short selling under flagging and uptick rules and calculation of net positions, lender ownership and call back, and recordkeeping on securities borrowing time and date. It also gives a quick description on the reporting requirements for net short position 
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  • Guide to Investing in Korea

    January 12, 2013
    Guide to Investing in Korea explains regulations pertaining to registration requirements, share ownership restrictions, and KRX and OTC trading rules and regulations that are applicable to foreign investors. It also gives a short summary of short sale rules in Korea. Foreign investors must register with the FSS before they can buy or sell locally traded equity and debt securities at the KRX. Registration may be filed in person or through a local agent, and trading may begin after receiving Investor Registration Certificate from the FSS and presenting it to a locally licensed broker/dealer for a trading account. 
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  • Guide to Equity and Short-Swing Profit Disclosures in Korea

    January 11, 2013
    Guide to Equity and Short-Swing Profit Disclosures in Korea gives a summary of disclosure rules for large share ownership of KRX-listed companies better known as the “five percent rule” and reporting requirements for corporate insiders’ equity ownership and short-swing profit. It also provides commonly used disclosure forms that large shareholders and corporate insiders must file with the FSC/FSS for shares acquisition and disposition 
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