Registry Activity

In accordance with subparagraph (h) of first paragraph of Article 4 of “the Communiqué on Principles Regarding Licensing and Recordkeeping For Those Engaged in Capital Market Activities” (VII-128.7) (“Communiqué”) of the Capital Markets Board, our Corporation keeps records of information about personnel subject to license and working in capital market institutions and publicly held corporations, and opens the registry information and data, deemed fit by the Board, to the access of institutions and entities again deemed fit by the Board, and enables other people or entities to display such information as licenses, existing job information, past job experiences, and whether they are banned to trade or not, etc. belonging to and owned by those who permit the sharing and disclosure of their registry information through public information inquisition.

Pursuant to Article 19 of the Communiqué, human resources officers or other assigned officers, as designated and defined in LSTS, of capital market institutions and publicly held corporations recruiting and employing individuals subject to license are under obligation to report the same to our Corporation within 10 business days following the date of recruitment thereof. Also in the case of resignation of those who are subject to license, the relevant capital market institutions and publicly held corporations are obligated to report the same to our Corporation again within 10 business days following the date of resignation thereof. These notices are sent in writing or electronically according to contents and methods determined by the Board.