administrative work for the arbitrator. Chapter II Filing of Dispute ________________________ Part I General Provision ________________________ Clause 6. The dispute to be filed by the claimant into the arbitral
following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration
matters should include a comprehensive flowchart of the overall business structure of the majority shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance
3 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration
condition of such relationship including the characteristics of business relationship. Clarifications on the said matters should include a comprehensive flowchart of the overall business structure of the
) having exhaustively comprehensive risk management of which preventive measures and arrangement shall be adequate and effective; (7) having systems and measures for preventing conflict of interests at least
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty
personnel’s performance]; (5) having efficient internal audit and control system; (6) having exhaustively comprehensive risk management of which preventive measures and arrangement shall be adequate and
the said matters should include a comprehensive flowchart of the overall business structure of the major shareholder. Also required is the information on the rationale and opportunity or necessity for