Clause 11 of the Notification of the Capital Market Supervisory Board No. Tor Jor. 10/2556 Re: Submission of the Registration Statement for an Offer for Sale of Debt Securities dated 11 March 2013
Complaints of Clients dated 3 August 2009; (2) The Notification of the Capital Market Supervisory Board No. Tor Thor. 63/2552 Re; Rules, Conditions and Procedures for Brokerage and Dealing of Securities Which
paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker dated 22 December 2004
Broker dated 22 December 2004 and Clause 28/1 of the Notification of the Securities and Exchange Commission No. KorThor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives
) dated 23 November 2000. 2 As added by the Notification of the Securities and Exchange Commission No. KorThor 12/2542 Re: Rules, Conditions and Procedures for Securities Borrowing and Lending (No. 2) dated
Procedures for Securities Borrowing and Lending (No. 3) dated 23 November 2000. 2 As added by the Notification of the Securities and Exchange Commission No. KorThor 12/2542 Re: Rules, Conditions and Procedures
. KorThor. 21/2540 Re: Rules, Conditions and Procedures for Dealing of Debt Securities dated 17 May 1997. (2) Notification of the Office of the Securities and Exchange Commission No. KorThor. 2/2543 Re: Rules
. The followings shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No. KorThor. 21/2540 Re: Rules, Conditions and Procedures for Dealing of Debt Securities dated
/2547 Re: Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2), dated 8 October 2004. (Translation) -2- Clause 3. An applicant for derivatives
Debt Instruments (No. 6) dated 3 August 2004. (Unofficial Translation) Page 2 of 12 (12) mutual funds; (13) juristic persons whose audited financial statement of the recent year demonstrate a capital