of Personal Data After the SEC Office has received personal data from other sources, the SEC Office has the responsibility to disclose your personal data on its website in accordance with its duty to
three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and consent letter of the audit firm (Form 61-2); Period of Approval Validity : not
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both
derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both parties and
derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both parties and
and deliver information of investment or holding of the assets as asset of the management company to the Office by accompanying with other information in which management company has the duty to deliver