which objectives is for promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ financial institution ” means

every three months at least. · For each time of changing password, it should not determine new password similar to the latest password. · do not determine the password in the typical form such as “abcdef

capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance

From-to Reason of changing work/ (Month/Year) position (1) .......................... …….… ................... ………..………….. Details of duties and responsibility

From-To Reason for Company (month/year) changing job/position 1.2 Juristic person (1) Name………………………… Category of juristic person……………… (2) Established under the law………………………………………………… (3) Under the

promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securiites and Exchange Commission. “ financial institution ” means a financial institution

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

clients, an intermediary shall comply with the rules prescribed in Chapter 1/1 of this Notification as well as have operating systems for supervising the procedure of such communication and service

conversations while providing advice and accepting trading orders which prevents eliminating, adding, editing or changing of the content of the conversations, etc.; (3) an efficient system for receiving and