Notification of the Securities and Exchange Commission No. KorKhor. 10/2551 Re: Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation

Notification of the Securities and Exchange Commission No. KorMor. 10/2559 Re: Determination of Fees for Undertaking Business According to Licenses ________________________ By virtue of Section 14(2) of the

Exchange Commission No. Kor Mor. 24/2562 Re: Determination of Fees for Undertaking Businesses According to Licenses ________________________ By virtue of Section 14(2) of the Securities and Exchange Act B.E

obtain licenses to undertake all types of securities business but not including financial institutions established by any other law which have obtained securities business licenses. Clause 4 A securities

derivatives business licenses as follows: (1) derivatives business license type Sor-1 ; (2) derivatives business license type Sor-2 ; (3) derivatives business license in the category of derivatives advisory

institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that

and exchange. Clause 4 This Notification shall apply to application for license and issuance of derivatives business licenses as follows: (1) derivatives business license type Sor-1; (2) derivatives