used in legal proceeding in case of violation. Whistleblower protection ● Any employee or worker who provides information or cooperation by giving a tip, testifying or submitting useful documents for
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
the clarification of the person(s) against whom the complaint is filed, and whether an explanation is sufficient for further legal proceeding; ● In case of a dispute between an investor and an