securities and derivatives business. Accordingly, investors will be protected in that their investment money will be segregated from that of the business operators while investments will be handled and
complaint together with relevant facts and evidence via the cahnnels below (24 hours everyday). The complaint will be handled by a special committee to ensure transparency and fairness. HR Director Tel/Fax
of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
effective and appropriate risk management and an internal control system in compliance with the applicable laws, and ensure that conflicts of interest are effectively dealt with and complaints are handled
whitewash waiver Providing opinions to the shareholders regarding the application for a waiver from making a tender offer; Reviewing to comprehend the assumptions, policies and operational plans of the waiver