acceptable level on a continued basis by clarifying significant risks. In this regard, the Company may disclose the full version of the policy, operational framework and risk management plan on the Company’s
vision, objectives, goals or strategy on the operation of the Company, and identify the preventive measures at an acceptable level on a continued basis by clarifying significant risks. In this regard, the
evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the
: _________________________________________________________ 4) Legal form of NRI CIS: legal entity1 unit trust any other structure acceptable to participating jurisdictions 5) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the
Office. In providing services under the first paragraph, the online branch office is not allowed to give an advice concerning securities investment to customer. The securities company shall arrange to have
online branch office is not allowed to give an advice concerning securities investment to customer. The securities company shall arrange to have a clearly statement that the securities company is not
the notification of the Office. In providing services under the first paragraph, the online branch office is not allowed to give an advice concerning derivatives contract or suitability of trading in
electronic equipment; (4) undertake any other necessary duties as prescribed by the notification of the Office. In providing services under the first paragraph, the online branch office is not allowed to give