report the result of securities dealing in accordance with related rules and the work unit responsible for post-trade operation can immediately confirm the securities trading with its counter trader
submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result
-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to report the result 5 Amended by Notification of the Securities and Exchange Commission No
handling system, report of customer complaints and result of the complaint in accordance with the rules specified in the notification of the SEC Office. Clause 27/1 In servicing as Derivative broker
deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints handling system, report of customer complaints and result of the
risk on securities companies due to incompliance with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed
authorities. The duties required under such legislations pose a different type of risk on securities companies due to incompliance with and negligence of the legislations. As a result of the above-mentioned
with and negligence of the legislations. As a result of the above-mentioned risks, the SEC deems it is necessary to issue a more specific and detailed Notification concerning the practical implications
prescribed under the said notifications except for a case where there is difference in procedures which does not result in any material change of the qualifications stated in the application. Clause 26 Any