number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of

Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a

holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For

operator shall proceed as follows: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign

shareholder or a partner of the juristic person which holds shares or partners in such juristic person, whether directly or indirectly, more than fifty percent of the outstanding shares or the total partnership

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund

business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the

the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital