paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital. Clause 6 In the event that, prior to the

and specifying exact time when the report would be able to be submitted. In case the SEC Office determines that such request is necessary and appropriate, the SEC Office may render a waiver for such

Office determines that such request is necessary and appropriate, the SEC Office may render a waiver for such request. Clause 7 In case any of the offering period of securities has already elapsed before

request is necessary and appropriate, the SEC Office may render a waiver for such request. Clause 7 In case any of the offering period of securities has already elapsed before the effective date of this

method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h) appropriate and reliable

) appropriate and reliable system for recording information and hierarchical information report to the executive; (i) procedure and method for controlling and monitoring the performance under the prescribed

securities and derivatives contract for the derivatives broker’s proprietary account may affect its financial condition. Therefore, it is deemed appropriate to issue this Notification to determine rules for

. Therefore, it is deemed appropriate to issue this Notification to determine rules for the operation of derivatives brokers. Notification of the Capital Market Supervisory Board No. TorThor. 2/2551 Re

proprietary account may affect its financial condition. Therefore, it is deemed appropriate to issue this Notification to determine rules for the operation of derivatives brokers.

Market Supervisory Board; therefore, it deems appropriate to issue this Notification to replace the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2548 Re: Qualifications