] has certain behaviors indicating unlawful acts subject to administrative sanction; (4) “authority” means the SEC, administrative panel and the SEC Office, as the case maybe; (5) “administrative panel
particular calendar year. Clause 18 The intermediary shall ensure that the foreign personnel under Clause 16 refrain from undertaking any act which may be unlawful or non-compliance with the relevant rules
act that may be unlawful or non-compliance with the relevant rules, and the intermediary shall take the following acts at a minimum: (1) inform the foreign personnel of the scope of performance of duty
-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence, for example, efficient records of conversations while
system to protect clients’ information, particularly trading information, which restricts access to such information on a need-to-know basis and prevents unlawful use of such information; (2) a system for
in the director or any relevant persons receiving unlawful benefits, shareholders may sue to claim back such benefits from such particular director on behalf of the Company pursuant to Section 89/18 of
relevant persons receiving unlawful benefits, shareholders may sue to claim back such benefits from such particular director on behalf of the Company pursuant to Section 89/18 of the Securities and Exchange
unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries; (11) having