, mutatis mutandis, only the part of investment management; (2) perform duties by adhering to ethics and professional standards issued by the association and approved by the Office, mutatis mutandis, only the
will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental
, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities give force to the securities company including ethics and professional
including ethics and professional standards stipulated by the association in securities business or any other organizations in securities business accepted by the Office, mutatis mutandis. (Translation) 7
] the code of ethics and standards of professional conduct as defined by the associations related to securities business or by organizations in connection with securities business recognized by the SEC
to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities business prescribed by an agency or association connecting
act of other person; (2) there are reasonable grounds to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities