judgment regardless of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences under law on securities and exchange or law

; “manager” means a person appointed by the board of directors of an investment advisory company to assume the highest responsibility in the management of the investment advisory company, regardless of the

the rate of 0.001 percent of the trading value, regardless of whether such trading is for clients’ accounts or proprietary account, deducted by the following items: (a) the trading value derived from

work relating to provision of securities services, securities operation or research on securities or capital markets or other similar lines of work, regardless of whether the operation of such line of

securities company at the time of selling order but the securities company is confident that the customer owns such securities, regardless of whether the securities are in the customer’s possession or

securities or capital markets or other similar lines of work, regardless of whether the operation of such line of work is to provide services for other persons or for the benefit of the company itself; (4

exceeding the value of the collateral. In this regard, such liabilities shall not have any condition of repayment before the maturity date within one year, regardless of the term of a put or call option or

condition of repayment before the maturity date within 1 year, regardless of the term of a put or call option or any other similar condition, unless such condition has been waived by the SEC Office; (b

or capital markets or other similar lines of work regardless of whether the operation of such lines of work is to provide services for other persons or for the benefit of the company itself; “Executive

result of such accusation or [ii] having been imprisoned by the final judgment of a court regardless of whether the infliction of pubishment has been suspended, and having been acquitted of the