application and providing investment advice to clients. 23The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner
custody of the securities company and where the client’s account is suspended from making transactions in compliance with the rules of such securities company. For the benefit of providing reports on
suspended from making transactions in compliance with the rules of such securities company. For the benefit of providing reports on clients’ assets, payment of interest shall not be deemed as a transaction
experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing
delivering an excellent customer experience in order to empower every customer’s life and business, we prioritize the offering of attentive and inclusive services as a trustworthy service provider. We can
according to this Notification shall be as per the following regulations unless a waiver is granted by the SEC Office based on reasonable and appropriate ground: (1) the responsible person according to this
Intermediary 06/09/2013 01/04/2014 2. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and
Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) 06/09/2013 01/04/2014 Notification of Capital Market Supervisory Board TorThor. 35/2556