Our Company was granted permission to be engaged in Limited Custody and General Custody Services, along with Transactions Intermediation (Domestic and International), Portfolio Intermediation (Domestic), Individual Portfolio Management, Investment advisory, Public Offering Intermediation (underwriting of intermediation and best effort underwriting) activities as a “broadly authorized intermediary institution” by the Capital Markets Board in accordance with the Communiqué no. III-37.1 on Principles Regarding Investment Services, Activities and Ancillary Services and Communiqué no. III-39.1 on Principles of Establishment and Activities of Investment Firms. To this end, the authorization certificate of “Broadly Authorized Intermediary Institution” issued by the Capital Markets Board is provided below, along with the table that indicates the investment service and operation permits.
Authorization Certificate for Broadly Authorized Intermediary Institution
| Investment Service and Operation Permits | |||
| I. | Intermediation in Order Transmission | Domestic | International |
| i. | Equity | - | - |
| ii. | Other securities | - | - |
| iii. | Leveraged trade | - | - |
| iv. | Equity-based derivative instruments | - | - |
| v. | Equity-index derivative instruments | - | - |
| vi. | Other derivative instruments | - | - |
| II. | Transaction Intermediation | Domestic | International |
| i. | Equity | Holds permit | Holds permit |
| ii. | Other securities | Holds permit | Holds permit |
| iii. | Leveraged trade | ||
| iv. | Equity-based derivative instruments | Holds permit | Holds permit |
| v. | Equity-index derivative instruments | Holds permit | Holds permit |
| vi. | Other derivative instruments | Holds permit | Holds permit |
| III. | Portfolio Intermediation | Domestic | |
| i. | Equity | Holds permit | |
| ii. | Other securities | Holds permit | |
| iii. | Leveraged trade | Holds permit | |
| iv. | Equity-based derivative instruments | Holds permit | |
| v. | Equity-index derivative instruments | Holds permit | |
| vi. | Other derivative instruments | Holds permit | |
| IV. | Individual Portfolio Management | Holds permit | |
| V. | Investment Advisory | Holds permit | |
| VI. | Public Offering Intermediation | ||
| i. | Underwriting of intermediation | Holds permit | |
| ii. | Best effort underwriting | Holds permit | |
| VII. | Custody Service | Holds permit | |
| i. | Limited Custody Service | Holds permit | |
| ii. | General Custody Service | Holds permit | |
