) Voting guideline (b) A summary report on the exercise of the right to vote in each calendar year that contains the list of the company which the voting rights are exercised, the number of time the votes

footnotes to financial statement as prescribed by the accounting standard, namely information of financial statement reporting rule, summary of accounting policies which the securities company using for the

result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing

cover the following subject matters in accordance with appropriate periods: (a) activities relating to the approach of risk management or allocation and management of IT resources, for example, a summary

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