individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the
involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance
information or documents already disclosed on the Company's website and the progress report of similar work submitted to any other anti-corruption project such as CAC wherein the Company participates. 11
1(1) only. With respect to the calcuation of the amounts under Paragraph 1(2) or (3), where the intermediary engages in the business of investment advisory service as well as the derivatives advisory
securities business, derivatives business or any other business of financial service or participates or supports or having participated or supported such act of other person; (2) there are reasonable grounds
participates in anti-corruption projects such as CAC which require similar procedure, the Company may disclose the proceeding or progress report by referring to the operation under such projects. 13. Internal
personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in
provider, in part that involves with the derivatives broker. Clause 12 . In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance with this notification
securities company. In case where the Office see appropriate, securities company shall arrange for the Office to examine an operation of service provider, in part that involves with the securities company