of their acts, the aforesaid four persons are deemed to possess prohibited characteristics of capital market personnel as specified in the Notification of the Capital Market Supervisory Board No. Tor

client's account without the client's order and failing to perform in accordance with the client's order were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the

operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval

e-service Online Submission See canceled document Investment Advisory >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

e-service Online Submission See canceled document Derivatives Advisors >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

e-service Online Submission See canceled document Limited BDU >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market

e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Derivatives Agent >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market