shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing

in this Chapter shall not be applicable to the following clients: (1) institutional investor; (2) ultra-high net worth or high net worth investor having status as a juristic person with a statement of

Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms

Details is entrusted to any person, the following statement and structure shall be applied: “To be used as an evidence that all documents are warranted by me, I entrusted

Capital Clause 4 The liquid assets which may be used for maintenance of the capital are the following assets which are free of encumbrance and are not short-term investments with the intention of resale or

. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of

Exchange Commission and shall not be used for other means. Signed ( ) CPA License No: Date: Form 61 - 4

fund rating business which can be shown that the rules used in the mutual fund rating are based on academic principle and reflects the purpose of mutual fund rating without causing misunderstanding to

obliged to purchase according to the securities underwriting agreement; (2) the statement under (1) shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or

: ............................................................................... 8. Performing of audit work ( Full-time time used for performing audit work per week ........................ hour(s) ( Non-full-time time used for performing audit work per week