of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

of conduct specified by the SEC Office, or by the Association of Investment Management Companies with approval of the SEC Office; (3) the professional ethics and standards specified by the Association

therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020.  SEC emphasizes the importance for investment consultants

of G Steel Public Company Limited (Enclosure 3), e.g. the Company must obtain approval from its Board of Directors’ meeting and shareholders’ meeting for entry into the Credit Agreement. 3. After the

consent of the client in writing in each case. Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody

Exchange Commission No. KorThor.29/2545 Re: Custody of Client Assets of a Securities Company (No. 2), dated 28 March 2002. (Translation) -3- (3) provide a contract or an agreement on the custody of client’s

) The shareholders’ meeting of the Company shall have approved the entering into the Right to Sell Advertising Media Agreement between the Company and PLANB; (3) The Company has obtained an approval from

appointing a debenture holder representative; (3) obtain approval for a person having qualifications as specified in the notification of the Capital Market Supervisory Board to be a debenture holder

terms and conditions stating the rights and duties of the debenture issuer and the debenture holders; (2) submit a draft agreement appointing a debenture holder representative; (3) obtain approval for a

) submit a draft agreement appointing a debenture holder representative; (3) obtain approval for a person having qualifications as specified in the notification of the Capital Market Supervisory Board to be