concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the

social and community development in material issues for business operational process. In addition, the action plan that shows the Company’s capability of managing social sustainability issues in the

an ongoing financial problem; (b) capability and readiness for operational function which shall be specified in such a way that it is possible for screening and selecting a service provider who has

of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or services, more than those should

exempted from the duty to comply with the Notification of the Securities and Exchange Commission re: Maintenance of Financial Condition of Licensed Derivatives Broker . The SEC Office is empowered to require

equipped with knowledge and capability in trading futures contracts and protecting their own interest.

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision

which has the duty to maintain the capital under the Notification concerning Maintenance of Capital . “ Notification concerning Maintenance of Capital ” means the Notification of the Securities and

financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least