for rendering the securities company get service of information technology from other provider efficiently, acceptable and able to control a risk and having a content cover guideline for selection and

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

necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or

that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the

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

imposed by the State or an authorized agency in supervising derivatives trading. O yes (please specify in detail) O no 2.4 Please summarize the rules which the State or an authorized derivatives supervision

mutual funds’ assets; (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested

Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for

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