shall include the information on the court trying the case, the commencement date, the parties, the cause of action, the progress of the case as well as the names of the directors, executives or

commencement date, the parties, the cause of action, the progress of the case, and the opinion of the Company regarding possible impact of the lawsuits or disputes on the operation of the Company or its

financial institution. The above disclosure shall include the information on the court trying the case, the commencement date, the parties, the cause of action, the progress of the case as well as the names

is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the

submitted as attachments.) Details of the partners or equivalent in the Audit Firm, a total of .......... persons Names and Last names Educational Qualification Registration No. Performing audit Experience in

two calendar years prior to expiration of approval term; 2.2 Master’s degree or higher from educational institutions accepted by the Office during the past two calendar years prior to expiration of

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the educational background and related work experience. Such personnel should not have record in violation of the

securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted

Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal