securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
, top management, management and employees are appropriately defined and assigned. 4. The organization demonstrates its commitment to attract, develop and retain competent individuals in alignment with
administrative panel or the SEC, as the case may be, for commencing the administrative proceedings under this Chapter. 3 Clause 7.1 The department in charge as assigned by the SEC Office to perform operational
Directors, the Chairman of the Board of Directors or a person entrusted by the Chairman shall send notice thereof to the directors not less than seven days prior to the date of the meeting. However, in case
. In summoning a meeting of the Board of Directors, the Chairman of the Board of Directors or a person entrusted by the Chairman shall send notice thereof to the directors not less than seven days prior
the January 2019. In this regard, the Board of Directors has authorized the executive committee or the Chief Executive Officer or the person entrusted by executive committee or the Chief Executive
authorized the executive committee or the Chief Executive Officer or the person entrusted by executive committee or the Chief Executive Officer to have an authority to consider, decide, amend or change rules
intermediary shall determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such
determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall