the integrity risk by the content covering the development procedure or alteration from the beginning such as request including take the developed operation system or altered for operate in the true

their duties to the fullest extent. Throughout 2019, the SEC organized training sessions and seminars on emerging issues with significant changes to stakeholders at all levels, e.g., executive officers of

Appellate Committee 70 Sub-committees 76 Other Committee and Steering Groups 78 Arbitrators 79 Procedure for Investigation of Possible Contraventions of the SEC Act and Criminal Action 81 Financial Statements

○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ ○ appointment of former chief executives as board member, Chairman’s non-participation in sub- committees, policy and procedure for board education, proposal of meeting agenda items and board inquiry for

authorization of the Chief Executive Officer: (1) to enter into negotiations, agreement, to determine, change, amend any detail, condition, and procedure necessary for the acquisition of ordinary shares, the VTO

the procedure by which a CRA determines credit ratings, including the information that must be considered or analyzed to determine a credit rating and the analytical framework used to determine the

profession and [iv] member punishment; (10) having mechanism and measure to punish member fairly, i.e. [i] having process and procedure clearly, [ii] making an opportunity for considered person to elucidate

quarterly MD&A (management discussion and analysis); and (4) Encouraging securities companies to voluntarily enter into dispute settlement through arbitration procedure Self-Discipline ● Prescribed best

, objectives and operational procedure clearly, thoroughly and obviously; (2) determining [i] organizational structure and [ii] roles, powers, duties and responsibilities of directors, executives and other

difference in the procedures to the extent that it will not materially change the work system and personnel provided in the application; (2) the rules and regulations of the derivatives exchange necessary for