Investment Advisors and Appointment of Investment Advisory Agents (codified as of 28/02/2005) (Synopsis) 14/09/2001 01/03/2002 Report/Form (Notification of Securities and Exchange Commission) Application
Filing Application for Approval of Extension of Personnel in Capital Market Business in Special Circumstances 03/11/2011 16/11/2011 9. Notification of the Office of the Securities and Exchange Commission
. Report/Form (Notification of Securities and Exchange Commission) Form 117-6 Application for an Approval of Mutual Fund Manager 21. Report/Form (Notification of Securities and Exchange Commission) Form
KorDor. 28/2540 Application for a License to Undertake Securities Borrowing and Lending Business 31/07/1997 6. Notification of the Office of the Securities and Exchange Commission SorThor. 39/2546 11
Independent Director of an Intermediary 03/06/2014 01/07/2014 10. Notification of the Office of the Securities and Exchange Commission Guidelines for Application and Approval for Appointment of Person to be
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit