market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their

investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This

for the 3rd quarter of Year 2018 and 2019 were 19.9% and 15.5%, respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and

assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses. Financing Costs The financing costs of financial institutions

charge; otherwise, a civil lawsuit is an option. The SEC has no authority to handle a claim for compensation or proceed with a civil dispute. Should you need legal advice on such matters, please contact a

and special investigation against possible contravention or malpractice ë Handle complaints against misconduct ë Set approval standards to ensure that related persons are fit and proper ë Set standards

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of

Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of operation before and after

in the notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures