of the SEC Office; Approving the persons in the capital market business under the supervision of the SEC Office; Analyzing and reviewing the overview of investment and studying investment behavior, as
analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving
separate from the employees that participate in taking credit rating actions or developing or modifying credit rating methodologies that apply to such rated entity or obligor. C. CRA Employee Independence
advices relating to securities investment to investor or the client of securities company, or in analyzing a securities investment, such securities company shall arrange to have the investor contact
securities company, or in analyzing a securities investment, such securities company shall arrange to have the investor contact category A or B, as the case may be, who obtains an approval from the Office as
Giving Advice to Client Clause 16.13 14 15 In contacting, soliciting, or giving advices relating to securities investment to investor or the client of securities company, or in analyzing a securities
current accounts for the highest efficiency in cost management. We are therefore continuously monitoring and analyzing the course of events. Subject to our regular reviews and improvements in liquidity risk
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such