Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through

, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC

of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading

trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office

to property. [ ] Yes [ ] No (3) I am the person whose property has been ordered by the court to devolve upon the State in accordance with law on counter corruption, law on prevention and suppression of

obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments

in accordance with the rules as prescribed in Clause 18(2); (8) having appropriate and sufficient system for proprietary trading which would be able to prevent the following occurrences: (a) negative

undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such

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

criminal proceedings by an agency having charge and control of the law, for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception