) Director, executive or controlling person of securities issuing company (2) Employee or worker of a securities issuing company who holds a position, or is in the line of work, is responsible for or capable
operators should be capable of delivering quality services while complying with relevant regulations. During April – May 2023, the SEC conducted a public hearing to seek comments and suggestions on the
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 performance of
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
responsibilities to shareholders thoroughly and directors are capable to perform their duties. In case the board of directors has appointed the general manager or any other 12 person to act on its behalf for any
clients if the firm is not capable of increasing its personnel to ensure that the firm will have sufficient personnel to perform professional service. - Revise policies about remuneration and career