/07/2003 06/01/2004 2. Notification of the Securities and Exchange Commission  KorThor 12/2553 Determination of Undertaking not Deemed as a Derivatives Dealer   15/07/2010 01/08/2010 3. Notification

. 2546   18 03/07/2003 06/01/2004 2. Notification of the Securities and Exchange Commission  KorThor. 18/2554 Principles for Undertaking Securities and Derivatives Businesses   23/11/2011 01/12/2011 3

e-service Online Submission See canceled document Derivatives Dealer >> Licensing   Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Securities and Exchange

e-service Online Submission Investment Advisory >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   4/2557 (Synopsis

e-service Online Submission Others (Securities Business) >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   21/2544

e-service Online Submission Derivatives Advisors >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   4/2557 (Synopsis

e-service Online Submission Mutual Fund >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   14/2544    06/06/2001 16/06

e-service Online Submission Securities Borrowing and Lending >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange

e-service Online Submission Securities Borrowing and Lending >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission  KorThor

e-service Online Submission Securities Borrowing and Lending >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   33