compensation report under (1). (3) Announce name(s) of mutual fund(s) which makes a price correction under (2) and the price correction date thereof under (2) in at least one daily newspaper within three
clearing and settlement, including in the case of default in securities clearing and settlement; (4) business continuity management, with measures that meet international standards in a bid to promote and
comply with the law, related Notifications and professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the
Securities Dealing which are not Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 4 of 12 9 In case the independent director deceases, resigns or SEC has annulled the approval, or
, Conditions and Procedures of Securities Brokerage and Securities Dealing which are not Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 4 of 12 9 In case the independent director
report of net liquid capital calculation of the last business day of the month to the SEC Office by the seventh day of the following month; (3) in case where a securities company have any subordinated
calculation of the last business day of the month to the SEC Office by the seventh day of the following month; (3) in case where a securities company have any subordinated liabilities or financing lease
second paragraph of Section 25 and the notification of the Capital Market Supervisory Board concerning prohibited characteristics of major shareholders of derivatives business operator, and in the case