PART01
직무윤리
Contents
Chapter01직무윤리일반2
SECTION01직무윤리에대한이해2
SECTION02직무윤리의기초사상및국내외동향12
SECTION03본교재에서의직무윤리16
Chapter02금융투자업직무윤리19
SECTION01기본원칙19
SECTION02이해상충의방지의무26
SECTION03금융소비자보호의무31
SECTION04본인,회사및사회에대한윤리85
Chapter03직무윤리의준수절차및위반시의제재113
SECTION01직무윤리의준수절차113
SECTION02직무윤리위반행위에대한제재129
실전예상문제135
Chapter01총설142
SECTION01자본시장법개관142
SECTION02감독기관및관계기관146
SECTION03금융법규체계의이해153
Chapter02금융투자상품및금융투자업158
SECTION01금융투자상품158
SECTION02금융투자업165
SECTION03투자자172
Chapter03금융투자업자에대한규제·감독175
SECTION01금융투자업인가,등록개요175
SECTION02금융투자업인가심사177
SECTION03금융투자업등록심사186
SECTION04건전성규제188
SECTION05영업행위규칙203
Chapter04투자매매업자및투자중개업자에대한영업행위규제216
SECTION01개요216
SECTION02매매또는중개업무관련규제217
SECTION03불건전영업행위의금지220
SECTION04신용공여에관한규제226
SECTION05투자자재산보호를위한규제229
SECTION06다자간매매체결회사에관한특례232
SECTION07종합금융투자사업자에관한특례233
Chapter05집합투자업자의영업행위규칙237
SECTION01집합투자업자행위규칙237
Chapter06투자자문업자및투자일임업자의영업행위규칙257
SECTION01투자자문업자및투자일임업자의영업행위규칙257
Chapter07신탁업자의영업행위규칙271
SECTION01신탁의개념271
SECTION02신탁업자의영업행위규칙276
Chapter08증권발행시장공시제도288
SECTION01증권신고서제도288
SECTION02발행신고서관련세부규정297
SECTION03투자설명서제도305
Chapter09증권유통시장공시제도309
SECTION01정기공시309
SECTION02주요사항보고제도314
SECTION03수시공시제도316
SECTION04유통시장공시관련세부규정318
Chapter10기업의인수합병(M&A)관련제도321
SECTION01개관321
SECTION02공개매수제도322
SECTION03주식등의대량보유상황보고제도330
SECTION04의결권대리행사권유제도337
SECTION05기타주식의대량취득관련세부규정340
Chapter11집합투자기구(총칙)342
SECTION01집합투자기구의등록342
SECTION02집합투자기구의명칭351
SECTION03집합투자기구의업무수행351
SECTION04연대책임353
SECTION05자기집합투자증권의취득제한354
SECTION06투자회사등의자료의기록·유지354
Chapter12집합투자기구의구성등355
SECTION01투자신탁355
SECTION02투자회사365
SECTION03투자유한회사375
SECTION04투자합자회사376
SECTION05투자유한책임회사377
SECTION06투자합자조합378
SECTION07투자익명조합379
SECTION08집합투자기구의종류등380
Chapter13집합투자기구관련금융위원회규정421
Chapter14장외거래및주식소유제한433
SECTION01장외거래433
SECTION02공공적법인의주식소유제한441
SECTION03외국인의증권소유제한442
Chapter15불공정거래행위에대한규제445
SECTION01총칙445
SECTION02미공개정보이용(내부자거래)규제446
SECTION03시세조종행위규제460
SECTION04부정거래행위규제464
SECTION05시장질서교란행위규제466
Chapter16금융기관검사및제재에관한규정468
Chapter17자본시장조사업무규정474
실전예상문제478
Chapter01금융투자회사의영업및업무에관한규정484
SECTION01투자권유등484
SECTION02조사분석자료작성및공표497
SECTION03투자광고504
SECTION04영업보고서및경영공시등513
SECTION05재산상이익의제공및수령516
SECTION06직원채용및복무기준520
SECTION07신상품보호523
SECTION08계좌관리및예탁금이용료의지급등524
SECTION09신용공여526
SECTION10유사해외통화선물거래529
SECTION11파생결합증권및파생결합사채531
SECTION12집합투자업533
SECTION13투자자문업및투자일임업538
SECTION14신탁업540
Chapter02금융투자전문인력과자격시험에관한규정543
SECTION01주요직무종사자의종류543
SECTION02주요직무종사자의등록요건546
SECTION03주요직무종사자의등록550
SECTION04금융투자전문인력및금융투자회사등에대한제재553
Chapter03증권인수업무등에관한규정555
SECTION01주식의인수555
SECTION02무보증사채의인수566
SECTION03주관회사실적공시등568
실전예상문제574
Chapter01금융소비자보호법제정배경578
SECTION01제정배경578
SECTION02제정연혁579
Chapter02금융소비자보호법개관580
SECTION01금융소비자보호법시행후주요제도변화580
SECTION02금융소비자보호법구성581
SECTION03금융소비자보호법의내용상주요체계582
SECTION04금융소비자보호법의위치583
SECTION05금융소비자보호법의적용예외584
SECTION06전문금융소비자분류584
SECTION07금융소비자의권리와책무등586
SECTION086대판매원칙587
Chapter03금융소비자보호법주요내용590
SECTION01투자성상품및대출성상품590
SECTION026대판매원칙592
SECTION03금융상품판매대리,중개업자에대한영업행위규제607
SECTION04방문(전화권유)판매규제608
SECTION05금융소비자권익강화제도611
SECTION06판매원칙위반시제재강화619
실전예상문제627
PART02
자본시장과
금융투자업에관한법률/금융위원회
규정
PART03
한국금융투자협회규정
PART04
금융소비자
보호법
