various permanent operation and such log book should have a following detail: [A] · Operator · Operational time · Operational Detail · Occurred problem and solution · Position of system · Supervisor 2

through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the

each including respective solution guidelines. 2.4 Under-construction projects Only in case of high-value, time-consuming projects or assignments such as building or ship construction projects, disclose

exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse

managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any

effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system

the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the

shall be positive. In case where the derivatives broker increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity