service provider for protecting the information of the intermediary and the clients; (7) measures for supervising a service provider to comply with the regulations relevant to outsourced function as
guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the
assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the clients; 5 Clause 9
from a guaranteed fund? (2) Is there a possibility that investors may not receive the return of the principal, and how? (3) What are the terms and mechanism for protecting the principal of the mutual
about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting the client ’s asset which is under the following rules: (a) in case the client ’s
Offering of any Type of Debt Securities dated March 13, 2009. 4 1. Provide information of the covenants that are aimed at protecting debt securities holders, under which the issuer is required to take or
. Covenants Relating to the Issuance of the Debt Securities 1. Provide information of the covenants that are aimed at protecting debt securities holders, under which the issuer is required to take or refrain
investment decisions, and the measures for protecting the investors. In this regard, the SEC Office may specify an additional requirement for the applicant to comply with. Clause 13 In the case where the
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting