statement and draft 3 prospectus to obtain approval from the Office of the Securities and Exchange Commission. Digital tokens may only be offered to investors of the types and conditions specified by the
for supporting business continuity To operate a critical business function continually, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the
, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the appointed working group. The BCP as such should be kept at place of business, either inside or
lead to unfair treatment of investors, or the investors may not obtain correct or sufficient information to support their investment decision making; (5) the operation of the mutual fund is inconsistent
consent of the client in writing in each case. Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody
. (Translation) -4- Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody of securities company, or the
the case where the derivatives broker will engage in a derivatives contract with a client as a counterparty, the derivatives broker shall inform the client of such position and obtain a written consent
broker shall inform the client of such position and obtain a written consent from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to