to be reported to their Board of Directors at least on an annual basis. Clause 7. Securities company shall arrange for on-going training for all employees, including those delegated by the companies
at least on an annual basis. Clause 7. Securities company shall arrange for on-going training for all employees, including those delegated by the companies, so as to ensure compliance with this
considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In this regard, data of the
for the purpose of considering an application for account opening and giving of investment advice to such client. A securities company shall conduct know-your-client procedures on a continuous basis. In
Office shall have the authority to exempt the derivatives broker from the requirement of the proportion of independent directors in Paragraph 1 on a temporary or permanent basis. In this regard, the SEC
or permanent basis. In this regard, the SEC Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are
Our Policies Strategic Plan Annual Report Stakeholders in the Capital Market The Foundation of the SEC Toward International Excellence International Relations Contact Us Complaint/Whistleblower Holiday