Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the

to be open on different hours or close on different days. Therefore, in order to clarify rules on granting permission to a management company to establish a branch office together with serving

operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its operation, or not being ordered by the Securities and Exchange

prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary

starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by

to property. [ ] Yes [ ] No (3) I am the person whose property has been ordered by the court to devolve upon the State in accordance with law on counter corruption, law on prevention and suppression of

, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for

Businesses . In order to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market

3 6.11 Being a person whose property is executed under the court’s order, an incompetent person or a quasi incompetent person: O yes O no 6.12 Being a person whose name is under the list of persons

-depth information on each client in order to specifically plan and provide investment consultation on capital market product in line with the risk tolerance and the investment objective of each client