: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
companies If the Company has subsidiaries or associated companies, the following information shall be disclosed: (1) Policy on operational organization within the group of companies; (2) Shareholding diagram
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; (4) Clause 2(1) and Clause 19 of the Notification of
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent