. In case of the complaint received by the securities company from a customer and relating to duties executed by its agent, the securities companies shall send such complaint to the agent to find a

) prescribe procedures and methods for reporting to the board of directors or the audit committee in case where compliance officer and compliance unit find breaches of the laws, code of ethics and professional

shall take effect as of the date when an approval is granted, but the 2-year period shall begin as from the 1st day of January of the following year. In this regard, in case of granting an approval for

effect as of the date when an approval is granted, but the 2-year period shall begin as from the 1st day of January of the following year. In this regard, in case of granting an approval for the person who