following conditions: (1) in case of bond offering, the conditions specified in Division 1 shall apply; 13 (2) in case of corporate bond offering, the conditions specified in Division 2 shall apply; Division
Division 1; (b) the provisions relating to shareholders and protection as prescribed in Division 2; (c) the provisions relating to the management as prescribed in Division 3; (d) the provisions relating to
Approval and Granting of Approval Division 1 Application for Approval Clause 15 The submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such
identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card
Agreements with Clients prior to Providing Services ______________________ Division 1 General Provisions _______________________ Clause 10 In cases where an intermediary is required to make an agreement with a
positions for the clients by other law. Chapter 3 Engagement in Agreements with Clients prior to Providing Services ______________________ Division 1 General Provisions _______________________ Clause 10 In
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the
following personal data: 1.1 Definitions and examples of data collected by the SEC Office Personal data: Data of a personal nature, for example, identification number/passport number, title, name, surname