Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory

The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management

Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)

limiting the reviewing scope by the PLE management and not complying with the generally accepted accounting principles. Moreover, the exclusion of Techner?s interim financial statements from those of

buy securities in the manner that risked their financial status and payment ability Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21

systems related to receiving and handling complaints, channels to communicate with customers as well as the number and ability of personnel for Bitkub to operate its business efficiently. DAB Act S.30

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

Category of Investment Advisory Service   25/02/2016 01/04/2016 5. Notification of the Securities and Exchange Commission  KorChor 1/2555 Exclusion of Credit Rating Agency Business from Securities

re-selling those shares, thereby allowing the issuer to raise equity capital in return for an ownership position. ESG criteria: Environmental, social and governance factors. Exclusion policy: A

feeling the need to hide their gender identity • 31% of LGBTI workers feel unhappy or depressed • Transgender people face the most frequent and severe discrimination and exclusion in the workplace and