documents concerning identification data. In this regard, all information requested from clients must be up-to-date at the time the KYC/CDD process is undertaken. Furthermore, where the customer is a natural
. In this regard, the securities company shall set out rules on seeking and granting of approval in writing. Clause 15 In cases where a securities company finds that an investor contact may violate or
company shall require that any investor contact who wishes to give advice or conduct analysis of securities investment through media seek a prior approval from the securities company. In this regard, the
employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the derivatives broker’s board of directors, and comply with the
the employees and conflicts of interest in the employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the
of not less than three-fourth of total number of the shareholders present at the meeting and having voting rights, excluding the votes of shareholders having an interest in the matter. In this regard
Acquisition or Disposal of Assets, therefore, the Company is required to comply with such Notifications accordingly. In this regard, the Company is required to prepare a report and disclose such transaction to
purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office shall request your consent. In this regard, the SEC Office