audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the

person who is responsible for supervising the investigation · Has sufficient and appropriate experience · Has authority within the firm ; and Is otherwise not involved in the engagement? 112

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured

Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a

imposed by the State or an authorized agency in supervising derivatives trading. O yes (please specify in detail) O no 2.4 Please summarize the rules which the State or an authorized derivatives supervision