for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re

a supervision policy of the securities company at the management level in the matters concerning internal control and conflicts of interest, at the level of commercial bank, securities business

provide effective oversight and investigative capacity which will need to be appropriately funded. The ability to attract staff on competitive terms will enhance the quality and independence of supervision

(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the

), which is presented as a separate annex. What is corporate governance? Corporate governance refers to the structures and processes for the direction and control of companies. Corporate governance concerns

measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of

governance structure and material facts related to the board, 23 subcommittees, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and

monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities

Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Supervision of the Operation of Securities Underwriting dated 25 October 2006; (4) Clause 2(1

, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that are comparable to this Notification