Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The
concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
prohibited characteristics in Group 3 under Chapter 7. Clause 25 In case personnel in the capital market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
have the same meaning as defined for the term in the Notification of the Capital Market Supervisory Board regarding Rules on Securities Offering through Crowdfunding. Clause 2 In the case where a group
acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial
shall arrange following up and compliance with the said policies and plans. In this regard, the Board and the senior management may appoint a working group as a responsible person for operational works
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of