operations. Directors, executives, and employees, as well as related parties of the agencies under supervision, whereby the SEC Office has supervised and inspected the risks related to their business
measure for such procedure, if necessary. 5.2 The board of directors and executives set suitable indicators for performance appraisal, incentives and rewards with regard to code of conduct, and the
over the long term. Guided by our core strategies of “Customer Centricity", KBank has decided to redefine our aspiration to become “Customers’ Life Platform of Choice”, meaning the most-preferred
measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious transaction or other reporting made to anti-money laundering
transactions. Clause 21. Securities company shall establish a proper measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious
securities company not to report certain transactions. Clause 21. Securities company shall establish a proper measure to prevent their employees, including those entrusted by the company, from tipping off
_____________ Clause 11 An applicant who will obtain approval to be REIT manager shall demonstrate that it has ability to manage the REIT, being assigned by REIT trustee, efficiently and provide measure for
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
that the securities company is able to demonstrate establishment of the organizational structure which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts