interconnected data center due to unconnected data systems of individual bond registrars. Such issues have caused delay and inefficiency in the bond issuance process. The real-time, live testing under the

auditor rotation, aiming to enable the audit committee to appoint an independent individual to be its auditor and promote the auditors to truly maintain their independence.

securities (securities company and commercial bank with securities underwriting license) know individual client before selling client any product through suitability test. The test will be beneficial to

alternative assets such as gold mutual funds and investment in derivatives other than hedging purpose, management companies may choose to control the permissible investment proportion at individual level. In

application for change of information in Company Account to the SEC Office for updating the information at all times. 3 . We acknowledge and agree that we have the duty to oversee and keep confidential the

companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the

neither account owner nor account owner's appointee; failing to keep confidential client's information; and failing to keep records of investment advice and clients' trade order instructions; in violation

) / (#%I#0# 4!4 (derivative warrants) #II$"# (.# 4R&.$E3K$1$)# !. +,$ R&"# '"# $06"# 11 (."+3- )# !. 01 1.3.1.1 stock options / derivative warrants on individual +6 / (#%I#0# 4!4 &'R&.(0. 1.3.1.2

endeavors aim to understand and anticipate each individual customer’s needs under the “Segment of One” concept and to provide smart personalized “Financial and Life Solutions” to the right customer at the

comprehensive wealth management service through our KBank Private Banking, provided to our High Net Worth Individual clients who have various asset classes in their portfolio. Given that the majority of their