) of the Notification on Standard Conduct of Business shall include the following characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising
the fiscal year 2019 were 20.5% and 4.4%, respectively. In addition, the Board of Directors’ meeting has approved the final dividend payment for the fiscal year ended February 29, 2020, at the rate of
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been approved by and registered
Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved
businesses as approved by the Office of the Securities and Exchange Commission (if any); □ has operated its business for more than 3 years; □ has operated its business for less than 3 years. Shareholder of an
employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the derivatives broker’s board of directors, and comply with the
the employees and conflicts of interest in the employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the