Office used in its consideration of the approval of the offer for sale of the debt securities have changed, and if such facts and circumstances had been known to the SEC Office prior to the approval of the
control system; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from ascertaining non-public information between the service
security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from ascertaining non-public 4 Amended by the Notification of the Capital Market Supervisory
clients. 23The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner and controlling person up-to-date, as well as
and controlling person up-to-date, as well as revise the ability to pay debt and total exposure of each client on a regular basis. 24 The securities company must retain the related documentary evidence
accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of
-date, as well as revise the ability to pay debt and total exposure of each client on a regular basis. The securities company must retain the related documentary evidence as prescribe in the first