system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and

of submitting application to the SEC Office: (a) having been finally sentenced for misconduct as specified in sub clause (3) in case of juristic person; (b) having been finally sentenced to

or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under

three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph

obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph “investor contact

imposed a probation or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for

Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the company; (3) prepare the

person with knowledge (Unofficial Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image

dismissed, discarded or ejected from work because of misconduct: O Yes (please specify) For example, date of being dismissed, discard or ejected from work …… By company/office ……………………………….…….………. Detail of

by the Notification of the SEC or the Office, the securities company shall collect the relevant data and notify the Office within seven days from the date of acknowledgement of such misconduct. Clause