paragraph, the intermediary shall proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who
Supervisory Board concerning Rules on Personnel in the Capital Market Business. For the appointment of the independent director under the first paragraph, the intermediary shall proceed completely before the
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as
and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as follows: (1
will be abolished or revised to lessen burden on people. By doing so, methods used must be done with speed, transparency, low costs with participation of all related parties. ** Pursuant to Section 59 of
infeasibility to proceed the transaction. The usage of other sources of capital, which is the Company’s sources, to compensate the financing capital from the financial institution is insufficient and could affect