market products without awareness of necessarily fundamental information for investment; (2) shall not make such promotion to be a lucky draw or a manner of drawing lots for finding the client who gets a
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
paragraph, the intermediary shall proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who
Supervisory Board concerning Rules on Personnel in the Capital Market Business. For the appointment of the independent director under the first paragraph, the intermediary shall proceed completely before the
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as follows: (1