Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
, for instance the compliance according to the Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the
Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
Notification of Capital Market Supervisory Board concerning Rules on Imposing the Duty of Intermediary to Handle Clients’ Complaints and Participating in the SEC Office’s Project to Resolve Disputes by
which are enforceable on other derivatives clearing houses in tiered participation arrangements; (3) ability to demand or enforce collateral promptly; (4) sufficient sources of funds to handle risks
systemic risk and prevention of any consequences that may affect securities trading system, where the works involved supervising securities companies to ensure their sound financial status as well as
sources of funds to handle risks arising from connected services. In cases where a central securities depository desires to provide tiered participation arrangements with another central securities
, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply with the
2018 and 2019 were 18.9% and 17.6% , respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration