securities companies, ASCO can reaffirm that all securities companies have operational system to monitor proprietary trading. ASCO has issued measures to take care of the matter while the SEC regularly
bank officials. Also investors should monitor movement of mutual fund as well as deposit accounts regularly, and contact the responsible bank immediately in case of inquiry
working groups will be established to monitor and continuously advance the measures to accelerate tangible short-term results. Concurrently, in the next phase, the SEC will proceed with developing other
3 VIII. OPERATING AND FINANCIAL REVIEW AND PROSPECTS 5 IX. DIRECTORS, SENIOR MANAGEMENT AND EMPLOYEES 6 X. MAJOR SHAREHOLDERS AND RELATED PARTY TRANSACTIONS 7 XI. INTERESTS OF EXPERTS AND COUNSEL 8
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
. DIRECTORS, SENIOR MANAGEMENT AND EMPLOYEES ..................................... 12 XI. MAJOR SHAREHOLDERS AND RELATED PARTY TRANSACTIONS ..................... 12 XII. INTERESTS OF EXPERTS AND COUNSEL
EXPERTS AND COUNSEL ............................................................. 12 XII. FINANCIAL INFORMATION ................................................................................ 12 XIII
system to monitor any benefit on the loaned securities given by the issuer of the securities so as to compensate the lender for such benefit; (3) provide for a fair and transparent allocation procedure
collateral, and call for additional collateral from the borrower if necessary to maintain the collateral to loan ratio in compliance with Clause 9 (3); (2) have in place a system to monitor any benefit on the