) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
making necessary preparations for compliance with the Personal Data Protection Act to ensure that the gathering, storing and using of personal data will be efficient and comply with standards; (7
and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as
company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling o Storing the importance computer devices such as server device network device etc. in the computer centre
systems, the integrity of the company's financial position and information disclosure as well as shareholder engagement and communication.The SEC expects the board of directors will adopt and apply the CG
related to participation in a regulatory sandbox . The SEC Office shall consider the application for approval to participate in a regulatory sandbox under Paragraph 1 within sixty days from the date of
participation in a regulatory sandbox. The SEC Office shall consider the application for approval to participate in a regulatory sandbox under Paragraph 1 within sixty days from the date of receiving the