, scope of work and responsibilities, and proportion of time consumed for asset custody function to the total time of working; □ (c) Personal planning for business expansion (if any). In case where no
person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after
not purchase or sell any securities by using inside information which is likely to have an advantage against third person. And shall not disclose inside information for any personal gain. Clause 13
inside information which is likely to have an advantage against third person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on
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