cases where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of overallotment shares” means a securities underwriter who is obliged to provide overallotment
board lot and equally allot one board lot to every subscriber until all units offered are allotted, or other procedures an approved by the SEC Office; (2) allot the units to the subscriber under the rules
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by
discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC
undertaking its business, with the knowledge, skill and expertise necessary for discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the
Company and the subsidiary operating the core business according to the details in Attachment 1 as well. 10.3 Company secretary and the person assigned with direct responsibility for accounting supervision
policy on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of over-allotment shares” means a securities underwriter who is obliged to provide over-allotment shares
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person