, for the purpose of listing my name onto the Issuing Company’s Director and Executive Database of the company, to inspect my personal information relevant to consideration of the SEC Office and to
Issuing Company’s Director and Executive Database of the company. In addition, I here by give my permission to the SEC Office to inspect my personal information relevant to consideration of the SEC Office
and maintain the audit quality control system to comply with the standards mentioned in 1. Additionally, the audit firm consents for inspectors of the SEC Office to inspect the audit quality when
inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In
handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings
than five years. In the first two years, those information and (Unofficial Translation) documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3
the first two years, those information and (Unofficial Translation) documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
method or compliance guideline for inspect the security of the computer server. In a case appeared that having operate or alter abnormally the parameter, it shall be improve and report instantly. [M] o
than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). (Translation) 3. Check and balance system. By appointing a person who will monitor and inspect for