procedures as specified in the notification of the Capital Market Supervisory Board by engaging in any other business which is not a licensed securities business without the Capital Market Supervisory Board’s
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective Operation and Business
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for arranging and keeping
procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems’ impact on the business operation of
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person that is
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is Mr
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of