Office for inspection upon request. 6 Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the capital in accordance with the Notification
show the possibility of providing innovative financial services, including the research results on potential risks from the regulatory sandbox ; (8) having no record of violating or failing to comply
record of violating or failing to comply with the regulations or conditions related to participation in a regulatory sandbox. Clause 3 The agreement for establishing a securities trading center under
research results that show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to
show the possibility of providing innovative financial services, including the research results on potential risks from the experiment; (6) having no record of violating or failing to comply with the
a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the professional ethics or standards as stipulated by an association under the
professional codes of ethics of derivatives business, and measures for taking actions against persons violating or failing to comply with the rules and professional codes of ethics. In this regard, the
responsibility, due care and loyalty including breaching or failing to comply with the laws, objectives or articles of association, and the resolutions of the board of directors or the resolutions of the