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Public Notice Information Management Regulations

07Prohibition of Unfair Trade of Officers and Employees

• Article 42 (General Principle) The officers and employees shall not use the undisclosed material information with respect to works defined under Article 174 (1) of the Act (hereinafter referred to as the’ undisclosed important information’) to use in sales of specific securities and others defined under Article 172 (1) of the Act (hereinafter referred to as the’ specific securities and others’) and other transactions, or allow someone else to use.
• Article 43 (Transaction of Specific Securities and Others by Officers and Employees)
  1. ①In the event that it is intended to trade or otherwise transact the specific securities and others regardless of using the undisclosed important information, officers and employees shall notify the applicable situation to the officer in charge of internal audit or officer in charge of legal affairs in advance.
  2. ②The officer in charge of internal audit or officer in charge of legal affairs who received the notice of the previous Clause may prohibit the applicable trade or other transaction in the event that it is deemed as having to be used for the undisclosed important information. In this case, the applicable this company shall comply with it.
  3. ③In the event that specific securities and others are traded or otherwise transacted, the applicable officer or employee shall report it to the officer in charge of internal audit or officer in charge of legal affairs with the applicable trade contents (kind of specific securities and others, volume of trade, and date of trade) within 10 days from the expiration date of the quarter of the trade date.
• Article 44 (Management of Undisclosed Important Information)
  1. ①The representative director or the responsible person of public notice shall take necessary action to manage undisclosed important information in accordance with the followings.
     • 1.Any document that contains the undisclosed important information shall be kept in safe place where the authorized officers and employees may have the access.
     • 2.The officers and employees shall not discuss the undisclosed important information in a place where a third party may hear the contents of conversation in elevator, corridor and other areas.
     • 3.Any document that contains the undisclosed important information shall not be displaced in open place and, when disposing the document, it shall be disposed not to have the document contents to be reused in appropriate method of shredding, crushing and others to dispose.
     • 4.Any officer or employee shall maintain the security in outside of company as well as the inside for the undisclosed important information it held.
     • 5.Electronic transmission of document by fax, PC communication and others with respect to the undisclosed important information shall be undertaken under the condition guaranteed of security.
     • 6.Try to avoid copying of document that included the undisclosed important
       information as much as possible, and document shall be clearly promptly in the conference room or work related area.
     • 7.Spares of document copy including the undisclosed important information shall be completely disposed in a method of crushing or others.
  2. ③officers and employees shall not disclose the undisclosed important information of the company. However, in the event that the undisclosed important information is shared inevitable to the job with the other party to the trade, legal representative, external auditor and others, it shall be shared only within the limit necessary by inquiring it to the responsible person of public notice or head of the department in charge of public notice in advance.
  3. ③In the event that an officer or employee disclosed the undisclosed important information while not intended, it shall be notified to the head of department in charge of public notice without delay.
  4. ④The head of department in charge of public notice received with the notice of the previous Clause shall report the applicable fact to the responsible person of public notice and receive the instruction to take necessary action for Fair Public Notice and others.
• Article 45 (Undisclosed Important Information of Affiliated Companies) Article 42 through Article 44 shall be applied with respect to the prohibition of service action of the undisclosed important information of affiliated companies of this company for officers and employees.
• Article 46 (Return of Trading Gain and Others)
  1. ①Officers and employees of the followings shall return the gain made in the event of purchasing the pertinent laws and regulations and sell within 6 months or buy within 6 months after selling for a gain to the company under the provision of Article 172 of the Act.
     • 1.Any employee who is engaged in works of establishment, modification, promotion, public notice, and other related works for matters subject for major report under Article 3 (13); and
     • 2.Any employee who is engaged in finance, accounting, planning, R&D related works
  2. ②Head of department in charge of public notice shall make the report to the responsible person of public notice in the event that a request is received for request of return of gain for the officers and employees who made the trade gain by this company from any shareholder of this company (it includes any person who owns the equity securities or securities deposit certificate other than stock certificate, hereinafter the same).
  3. ③The responsible person of public notice shall undertake the procedure required to receive the return of the applicable gain including the claim on lawsuit against the applicable officers and employees within two months from the date of receiving the notice under the previous Clause.
  4. ④The responsible person of public notice shall notify the following matters on the homepage of this company without delay for two years from the date of receiving the notice of having the securities trade from the Securities and Futures Commission (hereinafter referred to as the “SFC”). However, it shall not be the case of having the return of securities gain.
     • 1.Position of person who is to return the gain on trading of securities
     • 2.Amount of gain on trading of securities (it means the amount combined for each officer, employee or major shareholders.)
     • 3.Date of receiving the notice of fact for securities trading from the SFC
     • 4.Plan to request for return of securities trading by the applicable corporation
     • 5.Shareholders of the applicable corporation (it includes the person who owns the equity securities or securities deposit certificate other than the stock certificate, hereinafter the same) may request the corporation to request for return of securities trade from the person gaining the securities trade, and in the event that the claim is not made within two months from the date of requested by the corporation, the shareholder may make the claim on behalf of the corporation.

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