transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading
? account to authorize securities transfers to the accounts of her related persons. In so doing, she filled in her own telephone number on the securities transfer form as the transaction confirmation number
transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors should not leave their fund passbooks and savings passbooks with
the client. They admitted that {A} contacted the client and made trading order confirmation via phone by herself. {B} and {C} neither met or contacted the client nor received or confirmed any trading
consumer protection and customer privacy, taking into account the changing customer expectations for greater convenience and speediness over omni-channel. Beyond the above strategies, we focus on proactive
related business (Section 22) Other related business Licensing / Registered Capital / Fees Business Conduct Securities Lending / Credit Balance (Section 102) Protection of Customer Assets (Section 98(3