governing employees’ securities trading to prevent its employees from inappropriately using inside information and to prevent conflicts of interest of employees in performing their duty. In this regard, such
shall have guideline for employees regarding securities trading control system in order to prevent the employees from inappropriately using inside information and having a conflict of interest in
23.28 Repealed. Clause 24. 29 A securities company shall have guideline for employees regarding securities trading control system in order to prevent the employees from inappropriately using inside
securities company violates or fails to comply with this Notification or the rules issued by the securities company, or acts inappropriately regarding securities dealing, the SEC Office may order such
of being remiss of his duties, or perform his duties inappropriately or incompletely due to the fact that the financial advisor has certified the correctness of, and is jointly liable for, such
create an advantage over other shareholders or give inappropriately more benefits than other shareholders; 2. being unlikely to be able to protect shareholders’ rights by allowing any person to receive
, method or procedure for executing transactions, making payments or providing payment services to clients or the ultimate beneficiary changes materially or inappropriately, or there is a reasonable ground
manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to any group of shareholders, which will create an advantage over other shareholders or give inappropriately