reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional
compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a
investment in commodity-linked derivatives or instruments; (e) investment units of a mutual fund of which the investment policy allows to invest in non-investment grade more than 60 percent of net value asset
the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited