hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s

Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work

,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s

Information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s information for the following purposes prior to providing services: (1) knowing the client ; (2

encumbrance of others to the borrower, and the borrower has to pledge asset as collateral to the lender in order to guarantee the borrower’s performance of obligation. Additionally, the lender has to return the

necessary. (2) a procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or

lending of securities or for guarantee of purchasing, selling, borrowing or lending of securities or for any other purposes, shall comply with the rules prescribed herein. The provisions in Paragraph 1

otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising