the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7. The prohibition of securities subscription under Clause 5 or the prohibition
to allocate securities under the Notification of the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7 The prohibition of
operation of company or arising from regular operation of the company, including other activities related to the business operation or carry out of such work. In a case of having a net loss, it shall
regular review as to adequacy of measure and system for preventing and managing conflicts of interest as prescribed in sub clause (2). Additionally, in case there is an occurrence affecting the preventing
country, identify the name of such stock exchange and whether or not it is the main stock exchange. 5.5 Financial institution with regular contact (only in case of debt securities offeror) Part 2 Corporate
the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify __________________________________________________
prescribed in sub clause (2); (4) determining for regular review as to adequacy of measure and system for preventing and managing conflicts of interest as prescribed in sub clause (2). Additionally, in case
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
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
the Minister. In specifying the salary and other remunerations for the Secretary-General, the prohibition in accordance with Section 22/1 shall be taken into consideration. SECTION 23. The Secretary