Subj: Application for establishing a branch office or converting an online branch office into a full branch office. The applicant hereby notifies the details on the establishment / conversion of a branch

structured notes, convertible bonds, or warrants shall report the redeeming, [converting,] or exercising rights of such securities to the SEC Office under the following rules; (1) the report for the redemption

which the mutual fund is entitled to receive from other persons; (2) disposing of the mutual fund’s assets and converting into cash, bank deposits, or promissory notes issued by commercial banks or

prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a

the year under review but decide to continue? If yes, explain. C External Pressures: 1 How is the firm’s practice influenced partner and audit staff’s behavior regarding selling of non-audit services? 2

names of the persons under Clause 8(1), (2), (3) and (4) at its every office, and also disclose those names on its website. In case of changing the names of persons on the displayed list, the intermediary

) at its every office, and also disclose those names on its website. In case of changing the names of persons on the displayed list, the intermediary shall update the list within 14 days as from the date

function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the

) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market

supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations