strategies for handling such impacts.(3) Risk Management: Disclose how the organization identifies, assesses, and manages climate-related risks as part of the organization’s risk management. (4) Metrics and
measures for handling conflicts of interest, and the Environmental, Social and Governance (ESG)-based decision-making factor for choosing target listed companies.The Code will also cover guidelines for
acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the performance of duties in sale or acceptance of redemption of investment units or customer
the rules on sale or acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the performance of duties in sale or acceptance of redemption of
representative to comply with the clause in the agreement and the rules on sale or acceptance of redemption of investment units or customer solicitation; (4) handling investor complaints relating to the
Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
complaint handling system in relation to securities business undertaken by the securities company, its employee or its agent; (2) receive a complaint in (1) from a customer and complaint from a customer
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling
) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public