with respect to the financial results for the second half-year of 2017 (during 1 July 2017 through 1 December 2017), whereby: 8 May 2018 is fixed as the record date on which the names of shareholders
controlling persons of the securities trading of the clients , and shall provide information or evidentiary documentation related to the clients ’ financial status and debt-repaying ability with respect to all
provide information or evidentiary documentation related to the clients’ financial status and debt-repaying ability with respect to all existing clients of whom the securities company has no records in
issue Notifications prescribing detailed rules with respect to the matters specified in this Notification to ensure practical implementation and to enable the SEC Office to inspect such implementation
, the SEC Office is empowered to issue Notifications prescribing detailed rules with respect to the matters specified in this Notification to ensure practical implementation and to enable the SEC Office
Business regarding the prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with
and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as specified in the
investor contact and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as