percent for three month period and decreased by 12.9 percent for the 1st half year respectively. The majority of selling expense was sale personal expenses annually adjusted as normal. However, there was
the previous year, or increased by 4.4 percent for three month period and decreased by 7.8 percent for the nine months year respectively. The majority of selling expense was sale personal expenses
rights of a customer as follows; (a) the right to be informed of any behavior which may cause a conflict of interests; (b) the right to inspect customer personal information including the advice that the
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from disclosing personal information, information on trading of derivatives, or a
disclosing personal information, information on trading of derivatives, or a client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the
same periods of the previous year, or decreased by 0.7 percent for three month period and increased by 3.7 percent for the 1st half year respectively. The majority of selling expense was sale personal
information relating to the types of guarantee, i.e. (1) Corporate/personal guarantee; or (2) Collateral guarantee; Also specify the guarantee value and guarantee conditions (if any). 17. Principal protection