continuous basis. The implementation of the plan will optimize the balance and lay down a solid foundation in the entire system, rather than focusing on stringent oversight on the third line of defense as
that effective actions are taken in a timely manner to cope with a highly volatile market. KBank has also placed importance on efficient risk management under the supervision of the Risk Oversight
] laws, objectives or articles of corporation, and the resolutions of the board of directors or of the shareholders’ meeting; (b) breaching the law relating to the supervision of the capital market whether
supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the securities company within thirty days as
offices such securities company shall submit the application together with document evidence showing the details of management plan and supervision of the operation of the full-service branch offices
management and supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker within
management and supervision of the operation of the full- service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker
with document evidence showing the details of plans for management and supervision of the operation of the full- service branch offices managed by the same manager. The Office shall consider and notify
Assets of a Securities Company dated 4 January 2000 shall be repealed and replaced by the following texts: “(2) a financial institution whose core businesses are already under supervision and are licensed