and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC
Choon Wee ) ( Director ) A (Acquirer) B (Company Name) The Business C (Company Name) D (Company Name) E (Company Name) 5 1 “Person in the same group” means (1) Party acting in concert with the reporting
calculated based on the total number of voting rights of the business. 5 Including securities which the reporting person deposits with other person(s) or has other person(s) hold on his behalf. 6 In case of
company” means any securities company licensed to undertake securities business in the category of securities brokerage or person who licensed or registered to undertake the securities business in the
; “Securities brokerage company” means any securities company licensed to undertake securities business in the category of securities brokerage or person who licensed or registered to undertake the securities
company licensed to undertake securities business in the category of securities brokerage or person who licensed or registered to undertake the securities business in the category of derivatives broker
under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
. Signature of the reporting person ( Mr. Samuel Kwan ) ( Company Secretary ) A (Acquirer) B (Company Name) The Business C (Company Name) D (Company Name) E (Company Name) 5 1 “Person in the same group” means
head of department or a person holding any equivalent position, otherwise called by a different name but in charge of a line of work relating to the securities business. (UNOFFICIAL TRANSLATION) 2 (2) In