and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

reference. Notification of the Capital Market Supervisory Board No. TorThor. 63/2552 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments or Investment

reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of

Clause 4/1 of the Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt

obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

limited to debt instruments or granting credit for securities business under the law on Securities and Exchange; (4) a juristic person established under foreign law, which is a derivatives business operator

in various categories consisting of derivatives brokerage and derivatives dealing limited to debt-securities derivatives and derivatives advisory service; (3) “debt securities derivatives” means

; (2) “ derivatives business license type Sor-2 ” means a license to undertake derivatives business in various categories consisting of derivatives brokerage and derivatives dealing limited to debt

as follows: (1) issue notices to the creditors whose names appear in the accounts and related documents of the mutual fund, instructing them to submit demand for debt repayment to the liquidator within