Company Limited is set out in the attachment) The entering into of such transaction constitutes an asset acquisition transaction of the Company pursuant to the Notification of the Capital Market Advisory
entering into every such transaction, except in the following cases whereby the management company may carry out the transaction immediately: (1) a transaction for an acquisition or a disposal of securities
licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a licensee has
]. Clause 4 A licensee shall pay to the SEC Office a fee according to the obtained license at a rate varies based on business volume or at the fixed rates set out in this Notification. In the case where a
the termination will significantly reduce future costs. In addition, the Group has personnel who are knowledgeable and capable enough to be ready to carry out the tasks themselves. Finance costs For the
to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such securities company; (b) Promote or publicize to the
premise of the securities company; (3) Arrange to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such
new money laundering and financing of terrorism techniques. The timeframe for trainings shall be set out as the securities company deems appropriate. Chapter 2 Know-Your-Client / Customer Due Diligence
techniques. The timeframe for trainings shall be set out as the securities company deems appropriate. (Unofficial Translation) - 4 - Chapter 2 Know-Your-Client / Customer Due Diligence Process