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
law. (2) the intermediary who has maintained capital under other notification concerning the maintenance of capital; (3) the intermediary which has ceased its business according to the notifying letter
) notifying the other securities companies in writing prior to rendering securities trading service for such account that the client or a person who applied for operating a securities trading account or the
examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking of the applicant’s business within the period of 3
countries; (2) notifying regulations regarding the giving of advice complying with law concerning securities and exchange to the foreign securities business operator ; (3) notifying name and address of such
virtue of duty performance. (2) notifying the service user that the provision of services is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the
performance. (3) notifying the service user that the operation is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the operation of the business
investment units during such period the unit price is incorrect, notifying the price correction under (2) and the price compensation, within five business days from the date on which the fund supervisor has
notices to the creditors or the unitholders whose names appear in the accounts and related documents of the mutual fund notifying such deposit of money or assets through registered mail with advice of
assessment showing that the client is inappropriate to invest in or enter into a transaction of capital market products , the intermediary shall perform the following conducts: (1) notifying the client ; (2