action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and conditions as prescribed in Division 4
intermediary would comply with this Notification under the same standard. In this regard, the SEC Office may impose the detail for consistence with the category of any intermediary or capital market products; (2
deliberation as a professional, or [iii] a collusion or supporting such demeanors of other persons; (2) having a reasonable ground to believe that there is or was [i] an unfair act or exploitation of investors
professional codes of ethics of derivatives business, and measures for taking actions against persons violating or failing to comply with the rules and professional codes of ethics. In this regard, the
the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any aspects which would affect the
Office; and (4) Refrain from violating the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any
quasi-incompetent person; (3) having disreputable background or managing any business in a manner indicating a lack of professional accountability or due care as specified in the notification of the
quasi-incompetent person; (3)( having disreputable background or managing any business in a manner indicating a lack of professional accountability or due care as specified in the notification of the