. 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

company, clarify why such practice is employed instead of direct shareholding by the Company; (3) In case of several connected transactions, each with little value, grouping such transactions as seen

) 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

and their subsidiaries for the previous accounting period , on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the

information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of

of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is

) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing

following periods of time: (a) the information for the purpose of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval