the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
Instruments (No. 11) dated 25 October 2006; (3) Clause 3 and Clause 4 of the Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
, the appointment of third parties, such as other intermediaries , financial institutions or affiliated companies in the group of financial business who have readiness in personnel and operating system
obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for