system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into

to prevent conflict of interest; (2) risk management system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business

a professional. Clause 8 The policy for outsourcing operational function to a service provider under Clause 7(1) shall specify details and comply with the following rules: (1) scope and nature of the

as a professional. Clause 8 The policy for outsourcing operational function to a service provider under Clause 7(1) shall specify details and comply with the following rules: (1) scope and nature of

as a professional. Clause 8 The policy for outsourcing operational function to a service provider under Clause 7(1) shall specify details and comply with the following rules: (1) scope and nature of

caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into appraisal in risk management

the paid-up capital to the extent that causes decrease in the shareholders’ equity in the financial statement, unless approval is given by Capital Market Supervisory Board. Clause 7 In the event that

paid-up capital to the extent that causes decrease in the shareholders’ equity in the financial statement, unless approval is given by Capital Market Supervisory Board. Clause 7 In the event that, prior

paid-up capital to the extent that causes decrease in the shareholders’ equity in the financial statement, unless approval is given by Capital Market Supervisory Board. Clause 7 In the event that, prior

derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4 This Notification shall come into force from 16