user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial

value of securities or the suitability of a securities investment; (11) “ general advice ” means an investment advice given to any person without considering the investment objective, financial status, or

services suitable to each client carefully, especially with special care to the following clients: (1) any individual who is sixty years old or older; and (2) any person who has little financial knowledge

disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the

of the SEC Office, except that the intermediary which is a financial institution shall perform such revision and updating within a period of time stipulated by the Law on Financial Institution Business

particular time; (5) Investment in financial instruments/contracts which are legal under the concerned laws; (6) All expenses chargeable to the fund should serve the purpose of fund operation; (7) Every

result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing

proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity