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

. 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

) 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