notified the securities company in writing, the securities company shall undertake any steps to relieve such executive from being the executive of the securities company within necessary and justified period

Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business; (4) The licensee of derivatives business license type Sor-1 which

qualifications under Clause 9 and take steps in the matter shown under (a), (b), (c) and (d) of (1) at all time during which it undertakes derivatives business except the licensee of derivatives business license

account of necessary and reasonable cause, in accordance with steps and procedurse specified in the public handbook; (4) submit a notice of result of such implementation to the SEC Office within two

guidelines for the custody of the client’s assets in accordance with the provisions of this notification. Such rules and guidelines must be made in writing, elaborating procedural steps of authorized person

management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and

Consideration of the application for opening of the derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one

appointed under the Bankruptcy Act. SECTION 38. After the derivatives business operator has taken steps under Section 37, should there remains any customer asset, the derivatives business operator shall

cloud provider’s services in compliance with Clause 9(2)(c), the intermediary should take additional steps as follows:| (1) monitor the service performance and IT security of the cloud provider to verify

subsidiaries and affiliates to protect the best interest of the Company's investment. Steps taken are such as: - assigning representatives to be director, executive or controlling person in such companies, in