function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business; “client” means user of
performance supervision, internal audit, or risk management; (5) being able to show that person who is major shareholder does not have any prohibited characteristics under Paragraph 2 of Section 25 and the
supervision, internal audit, or risk management; 3 Amended by the Notification of the Securities and Exchange Commission No. KorThor. 25/2558 Re: Approval for Undertaking of Derivatives Business (No.4) dated 2
structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial
. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management
Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board
; 4. Online job application; 5. Acceptances and referral of cases; 6. Processes relating to security management of computer and information center and management of SEC internal security; 7. Profiles of
should have been disclosed. In addition, I hereby certify that I am responsible for the arrangement of the Company’s efficient internal system and adequate management system to ensure that the information