. In this regard, the securities company shall set out rules on seeking and granting of approval in writing. Clause 15 In cases where a securities company finds that an investor contact may violate or

for seeking an approval. Clause 12/3. In the case where the securities company finds that the act of an investor contact may violate or does not comply with the rules prescribed by the Notification of

compliance therewith. Clause 23 In the case where the SEC Office finds that any securities company violates or fails to comply with this Notification or the rules issued by the securities company , or acts

Notifications for the purpose of clarity in practice and for inspection by the SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this