Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.

Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of

client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c) handling of the

considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c) handling of the client’s

considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c) handling of the client’s

services to the client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c

services to the client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c

services to the client by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information to the client; (b) protection of the client’s confidentiality; (c