relation to the customer complaint, specifying solvable and unsolvable complaints by category and filing the report to the Office, on a quarter basis, within fifteen days from the end of a quarter. (5

First Quarter Second Quarter Third Quarter Year-end SP EQCR EP Mgr. Staff Total SP EQCR EP Mgr. Staff Total SP EQCR EP Mgr. Staff Total SP EQCR EP Mgr. Staff Total 1. 2. (2) The number of professional

solution first. (2) finalize the number of solvable and unsolvable complaints by category and inform the SEC Office for acknowledgement, on a quarterly basis, within fifteen days from the end of a quarter

statements / information For the year ended for.............quarter ended Name of auditor affiliated with audit firm ( Financial statements audit ( Financial statements / information review · 1 . Unmodified

past three years and the latest quarter or such shorter period that the company has been in operation: Specify the information in the consolidated financial statements, with only key figures and

and December. Clause 9 The value of liquid assets or insurance used for the maintenance of capital shall be calculated by the intermediary on the last business day of each quarter, unless in case of any

security of information technology in accordance with the criteria prescribed and notified by the SEC Office. Clause 9 The derivatives broker shall ensure that at least one-quarter of the company’s directors