monitoring of its personnel assuring that they have and maintain such qualifications that correspond to the nature of their duties; measures to prevent improper access to inside information among work units
monitoring the compliance with the policy and measures set in place; (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human resources promptly for
monitoring the compliance with the policy and measures set in place; 7 (c) operational system promptly for operation of derivatives business in the category to be commenced; (d) human resources promptly for
for suspension of agent and broker license or other corrective action (in addition to license revocation). KBank has studied these regulations and established our operational policies in accordance with
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities