, 2016 due to the lower bank overdrafts and short-term loan outstanding for the three-month period financial statement ended September 30, 2017. A part of the proceeds from the disposal of assets were used
securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has prescribed, the Office shall have the authority to waive
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
Right of the management company to access and examine the information 5. There should be measures to prevent any action that may cause conflict of interest both in the part of the delegator and in
company to access and examine the information 5. There should be measures to prevent any action that may cause conflict of interest both in the part of the delegator and in additional part of the delegatee
compliance of user account and password. · Providing the identification and authentication measure prior to access to the computer system strictly such as impose hardly password for presumption etc. and
. Controlling the compliance of user account and password. o Providing the identification and authentication measure prior to access to the computer system strictly such as impose hardly password for presumption
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited