rights of a customer as follows; (a) the right to be informed of any behavior which may cause a conflict of interests; (b) the right to inspect customer personal information including the advice that the
) Personal planning for business expansion (if any). In case where no personnel have been hired, the applicant shall submit the criteria for qualifications of such positions. □ 3. Supporting documents for
, 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
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
expert to give opinions on the dispute. An expert shall be independent and have no personal interest with any party which may cause biased and unfair opinions. The arbitrator shall determine the expert’s
expert shall be independent and have no personal interest with any party which may cause biased and unfair opinions. The arbitrator shall determine the expert’s remuneration. The remuneration for each
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