Market Supervisory Board, hereby issues this Notification, as follows: Clause 1 The Notification of the Office of the Securities and Exchange Commission regarding Operating Control and Information
| - |- Guideline on the commencement for operation of securities / derivatives business | - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency
| - |- Securities Brokerage (Section 113) | - |- Securities Dealing (Section 114) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books
) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of
control unit having duty to monitor internal control system to ensure check and balance mechanism and prevent fraud and embezzlement and (3) investor relations unit having duty to enable effective two- way
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