, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
solicitation; (2) having a clause prohibiting the representative from appointing a sub-representative; (3) overseeing the representative to comply with the clause in the agreement and the rules on sale or
cooperate with the SEC Office for the result of compliance with such rules; (3) prohibiting the representative from appointing a sub-representative; **(4) stipulating that the representative must cooperate
prescribed in sub clause (a) to (c) to the SEC Office immediately. Division 3 Prohibiting an intermediary to enter into a transaction constituting conflicts of interest _____________________________ Clause 19
directors on the anti-corruption policy of the Company and the subsidiaries, prohibiting demand, receipt and payment of bribes and optionally covering the scope of actions. In case of no resolution on such
) reporting the operations as prescribed in sub clause (a) to (c) to the SEC Office immediately. Division 3 Prohibiting an Intermediary to Enter into a Transaction Constituting Conflicts of Interest
the following matters: Policy : Disclose the resolution of the board of directors on the anti-corruption policy of the Company and the subsidiaries, prohibiting demand, receipt and payment of bribes and
information systems from malware attacks; Additional Guidelines 1. The intermediary shall establish measures under Clause 23(2), at a minimum, as follows: (1) a policy prohibiting the use of unauthorized