e-service Online Submission Securities Brokerage Business >>   Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations   5/2539    18/01/1996 2. Notification of

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

e-service Online Submission Securities Underwriter Business >>   Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations   5/2539    18/01/1996 2. Notification

e-service Online Submission Securities Dealer Business >>   Type Title Section See document Status Notified Date Effective Date 1. Ministerial regulations   5/2539    18/01/1996 2. Notification of the

e-service Online Submission Derivatives Agent >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission  KorChor. 9/2555

   18/01/1996 3. Notification of the Securities and Exchange Commission  Kor Thor. 25/2560 Specification of Paid-up Registered Capital of Securities Business License Applicant and Licensee   31/10/2017 01

e-service Online Submission Investment Advisory >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission  Kor Thor. 25/2560

e-service Online Submission Derivatives Fund Manager Business >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission   35

. Notification of the Securities and Exchange Commission  KorChor. 9/2555 Determination of Definitions of Institutional and High Net Worth Investors   09/07/2012 01/08/2012 3. Notification of the Securities and

e-service Online Submission Mutual Fund >>   Type Title Section See document Status Notified Date Effective Date 1. Notification of the Office of the Securities and Exchange Commission  SorNor 21/2551