. 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

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 comply with such rules. In case

. ---------------------- 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

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