of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand

Statement for Futures Trading. Date……………………….. The …………...…………………….. company, a derivatives broker, hereby certifies that Mr./Mrs./Miss…………………………. who works for the company has explained to the customer, Mr

shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works

thirty days, the Office may extend the period for consideration as needed. Clause 14. The securities company shall arrange for each branch office in foreign countries to have a manager who works only for

extend the period for consideration as needed. Clause 14. The derivatives broker shall arrange for each branch office in foreign countries to have a manager who works only for such branch. In case of

broker to disclaim its liability to its clients in respect of any willful act or omission or negligent act by the derivatives broker or its employees or any person who works for the derivatives broker

group of companies call for substantial competition, demonstrate clearly how the Company protects the shareholders' rights and ensures fair treatment or how the corporate management works for the best

the Office or no longer works for the securities company which has submitted the application for approval in case the investor contact has obtained approval through such qualifications. Chapter 4

shareholders' rights and ensures fair treatment or how the corporate management works for the best interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the

control system for member registry works (fund administrator) that is adequate to ensure the correctness and completeness on the following matters: 1.1.1 Document and Information Retention (1) Having a