Guideline 1. Information management · Determining the level of secret, compliance guideline for keeping the category of the level of secret and compliance guideline for controlling access the information in

rating mutual fund, the investment advisory company shall comply with the rule as follows: (1) using the information supporting mutual fund rating gathered from the reliable and referable source; (2

of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must