Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the
responsible for issuing rules for preventing conflict of interest, internal control of such investment advisory company, including the supervision of advisors to comply with the law, related Notifications and
given an appropriate level of protection in accordance with their sensitivity and criticality to the intermediary. In case of information, the intermediary shall establish the procedures for preventing
appropriate level of protection in accordance with their sensitivity and criticality to the intermediary. In case of information, the intermediary shall establish the procedures for preventing against
view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests, leaking
the view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests
with the criteria and procedures prescribed and notified by the SEC Office. Clause 19 In the interest of preventing and desisting unfair derivatives trading practices and trading abuse, the derivatives
dispute will be settled by means of arbitration organized by the SEC Office in accordance with the criteria and procedures prescribed and notified by the SEC Office. Clause 19 In the interest of preventing