; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with the law on securities and
applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities brokerage not limited to debt
type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities
Securities and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. Chapter 1 Application for Approval ______________________ Clause 3. Persons who obtain approval
obtain approval to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A
accessing or amending information; (d) non-public information protection system between the agent and its personnel; (e) supervisory system for making personnel to complete their functions in accordance with
personnel; (e) supervisory system for making personnel to complete their functions in accordance with the law on securities and exchange 4 , including regulations issued by virtue of such law in the part of