ethics or standard for conducting finance business or other financial related business: O Yes (please specify) For example, date of the incident………………..….. Details of such incident
of being lack of ethics or standard for conducting finance business or other financial related business: O Yes (please specify) For example, date of the incident………………..….. Details of such incident
, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities give force to the securities company including ethics and professional
including ethics and professional standards stipulated by the association in securities business or any other organizations in securities business accepted by the Office, mutatis mutandis. (Translation) 7
] the code of ethics and standards of professional conduct as defined by the associations related to securities business or by organizations in connection with securities business recognized by the SEC
are provided to ensure that executives and employees perform the duties with integrity and ethics: 1.2.1 Appropriate code of conduct for executives and employees; 1.2.2 Prohibitions on any actions by
greenhouse gas emissions. Conducting business with care and consideration for stakeholders, the economy, society, and the environment, guided by morality, ethics, and integrity. Supporting and developing the
to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities business prescribed by an agency or association connecting
act of other person; (2) there are reasonable grounds to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities