conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not support, instruct or cooperate with
support, instruct or cooperate with any person to act in violation of the law on securities and exchange and regulations issued under such law as well as other relevant laws; (7) comply with laws and
instruct such person to take corrective action, or act or omit from any act to comply with this Notification. Clause 35 The derivatives broker shall procure information or documentation relating to the
broker to comply with this Notification, or has inappropriate behaviors while acting as derivatives broker, the SEC Office may instruct such person to take corrective action, or act or omit from any act to
accounting standards while auditors must work for audit firms that have a quality assurance system in place. In addition, the SEC encouraged trade associations to expedite its preparation for self-regulation
not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the requirements under this Notification in order to instruct
the benefit of compliance with the requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be
benefit of compliance with the requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that