Company 10/05/2011 01/06/2011 3. Notification of Capital Market Supervisory Board  TorThor. 18/2553 Selling of Securities in Foreign Country by Securities Company Without Having Possession 27/04
possession of prohibited characteristics. − − ✓ 10 In case of applying for a new approval after completing revocation term due to possession of prohibited characteristics, the applicant must have the same
possession of prohibited characteristics. − − ✓ Remarks: 6 Application must be submitted within 5 years as from the expiration date of the previous approval. 7 A full course must have been taken for not more
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
listed companies for those people. In addition, amendment to the governing rules will add possession of accounting knowledge and passing of minimum training courses to the qualifications of financial
/reverse repo transaction as a tool for managing liquidity and generate benefits from the securities in possession. In this regard, however, securities companies have to put in place efficient control and
competition and innovation and technology advancement. The 2015 plan comprises six strategic moves: (1) attaining high regulatory standards on par with internationally accepted standards; (2) enhancing
Possession of Prohibited Characteristics _______________ (Translation) -3- Part 1 Prohibited Characteristics _______________ Clause 3 Personnel in capital market industry shall not possess any prohibited