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Securities Brokerage Business

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Licensing / Registered Capital / Fees

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Licensing (Section 90)

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Revocation of License (Section 147)

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Decrease in Registered Capital (Section 98(1))

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Fees (Section 14, 19)

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Business Conduct

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Securities Brokerage (Section 113)

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Foreign exchange bond brokerage

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Short Sale Provisions (section 98(5))

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Know Your Clients

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Books & Records Requirements

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Risk Control

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Compliance / Internal Control

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Conflict of Interest

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Securities Lending / Credit Balance (Section 102)

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Protection of Customer Assets (Section 98(3))

Business Operation Rules

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Net Liquid Capital Rule (Section 97)

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Executives / Personnel

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Approval & Qualifications (Section 103, 104)

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Major Shareholders

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Approval & Qualifications (Section 90, 91)

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Audit Committee (Section 89/25)

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Engagement in Related Businesses

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OTC & Derivatives Businesses (Section 98(4))

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Engagement in Other Businesses (Section 98(8))

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Selling Agents (Section 100)

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Internal operation of Securities Companies

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Proprietary Investment (Section 98(7))

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Outsourcing Services

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Joint Management Agreement / Other Agreements

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Auditors

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Approval (Section 106)

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Accounting and Financial Statements (Section 105, 106)

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Reporting Requirements (Section 109)

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Disclosure

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Advertising (Section 98(10))

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Securities Businesses (Section 108)

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Branch Offices / Representative Offices (Section 92, 93)

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Branches (Section 92)

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Representatives Offices Establishment (Section 93)

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Complaint Handling

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Anti-money Laundering

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Information Technology

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Business Continuity Management (BCM)

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Arbitration

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Appeal

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Others

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Public Holidays (Section 110)

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Segregation of Finance and Securities Business & Merger (Section 90)

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Related Organizations with Securities Business (Section 230)

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Others

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