. ---------------------- Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2548 Re: Qualifications and Other Prohibited Characteristics of Executives of Securities Companies ------------------------ By

discussion and analysis Certification of Information Attachments: Attachment 1: Details of directors, executives, controlling persons and company secretary Attachment 2: Details of directors of subsidiaries

, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4

) Page Part 4 Certification of Information Attachments Attachment 1 Details of the directors, executives, controlling persons and company secretary Attachment 2 Details of the directors of the subsidiaries

. Opinions of the executives on the audit quality control in the previous accounting period 7 6. List of audit engagement clients in the previous accounting period and the associated fee 7 7. Safeguards

for Approval of Appointment of Executives of a Securities Company or a Derivatives Business Operator ...........................................................Company O Securities Business O

Executives of Securities Company or the Notification of the Capital Market Supervisory Board concerning Qualifications and Prohibited Characteristics of Directors and Executives of Derivatives Intermediary

. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to

Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediar y; (5) demonstrating that a major shareholder of an applicant shall not have prohibited characteristics

Supervisory Board concerning Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediar y; (5) demonstrating that a major shareholder of an applicant shall not