금융투자업규정 영문본 (Regulation on Financial Investment Business, English)

This is the complete English text of Korea's Regulation on Financial Investment Business (금융투자업규정), a Financial Services Commission public notice (No. 2026-9, effective 17 March 2026). Issued under delegation from the Financial Investment Services and Capital Markets Act and its Enforcement Decree and Enforcement Rule, it sets out the detailed supervisory standards for financial investment business — a core administrative rule that financial institutions, law firms, and compliance teams working with Korea's capital markets rely on in practice.

No official English version exists

Unlike the Capital Markets Act itself, the Regulation on Financial Investment Business is a Financial Services Commission public notice (an administrative rule), so no official English translation is published by the Korean government (the National Law Information Center or the Korea Legislation Research Institute). This edition is a complete translation reviewed by H&S Partners, a licensed Korean law office — rarely available elsewhere.

What this document covers

The translation covers the full scope of the Regulation, including:

Authorization and registration of financial investment business entities
Corporate governance and internal controls
Financial soundness and net operating capital (NCR)
Business conduct rules
Collective investment schemes
Prime brokerage
Short-selling controls
Reporting and disclosure obligations

Who uses it

Legal and compliance teams at global investment banks, asset managers, international law firms, and fintech companies entering or operating in Korea's capital markets use this edition to confirm the exact English wording of the Regulation and to cross-reference it against the Korean original for transactional, contractual, and internal review work.

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Reviewed by H&S Partners (licensed Korean law office) · For reference only · In case of conflict, the Korean text prevails

Frequently asked questions

Is there an official English version of the Regulation on Financial Investment Business?

No. It is a Financial Services Commission public notice (an administrative rule), and unlike the Capital Markets Act it is not published in English by the Korean government. This is a complete translation reviewed by H&S Partners.

Which version does this English translation reflect?

FSC Public Notice No. 2026-9, effective 17 March 2026, incorporating all amendments in force as of that date.

What format is it and how do I receive it?

A PDF file of approximately 263 pages, available for instant download upon purchase.

Does this translation have legal force?

It is provided for reference purposes only. In case of any conflict of interpretation, the original Korean text prevails.