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importance of prevention and suppression of crimes, from the beginning to the end of the process, for market oversight in the digital age. In this respect, SEC has set an enforcement direction that focuses
stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s
communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company’s employee who can provide such information to the client at the
procedures by meeting the following criteria: (1) educate all employees and contractors on IT security policy relevant to their job function; (2) communicate to the employees and contractors that they should
securities company who can provide information for client; (2) Arrange to have system that the client can communicate with the securities company’s staff at the premise of the securities company; (3) Arrange
) Arrange to have staff at the premise of the securities company who can provide information for client; (2) Arrange to have system that the client can communicate with the securities company’s staff at the