the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures indicate that it is acting as a business unit
suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures
of the SEC Office; “director” means any director on the board of directors of an organisation; “executive” means the following persons: (1) person holding the highest executive position of the
instruments or financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instrument or evidentiary documentation showing the right in the assets of foreign collective
securities or other assets; “management company” means mutual fund management company or private fund management company; “mutual fund management company” means a securities company licensed to undertake
, disposal or holding of securities or other assets; “management company” means mutual fund management company or private fund management company ; “mutual fund management company” means a securities company
characteristics ”5 means other capital market products which is not capital market product having high-risk or complex characteristics; “ general manager ” means a person who is assigned by the board of directors
capital market product having high-risk or complex characteristics; “general manager” means a person who is assigned by the board of directors to be the highest level responsible person in the management of
directors to be the highest level responsible person in the management of a company. “head of department” means a person responsible for the work in the departmental level of a company. “branch manager” means
classified as D-SIBs. D-SIBs are required to maintain the additional CET1 of 1 percent of risk weighted assets and the ratio will be gradually phased-in 0.5 percent by January 1, 2019, and 1 percent by January