business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in

, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4

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

etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information

the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls

operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system

the following details. In addition, such method and procedure shall be consistent with and suitable for each type of capital market products or services: (1) a procedure for preparing communication and

personnel’s performance]; (5) having efficient internal audit and control system; (6) having exhaustively comprehensive risk management of which preventive measures and arrangement shall be adequate and

technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an

personnel clearly. In this regard, independent directors shall be appointed appropriately and proportionately for monitor, inspection and counterbalance of risk management and internal audit. The rule in term