companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment
delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment Companies shall conduct an assessment on risks and possibility of major operational
securities or investment units; (3) a person who obtains derivatives business license in the category of derivatives broker whose shareholder is a commercial bank or the securities company under either (1) or
brokerage not limited to debt securities or investment units; (3) a person who obtains derivatives business license in the category of derivatives broker whose shareholder is a commercial bank or the
) Systems for supervising the augmentation and the cancellation of investment units of mutual funds, and for examining and verifying the calculation and the announcement of asset values, net asset values and
supervising the augmentation and the cancellation of investment units of mutual funds, and for examining and verifying the calculation and the announcement of asset values, net asset values and selling prices
) which obtain a securities business license in the category of securities brokerage not limited to debt securities or investment units; (3) a person who obtains derivatives business license in the category
category of securities brokerage not limited to debt securities or investment units; (3) a person who obtains derivatives business license in the category of derivatives brokerage whose shareholder is a