ࡱ> qsp R Zbjbj$$@tF|F| +++???8wd?j2>Q1S1S1S1S1S1S1$4Z7,w1+w1  T2++Q1Q1C,|-Qkod,=1.2<j2,77$--Z7+.(w1w14j27 + : Checklist relating to Declaration of Appropriateness for Listing ( Checklist )_________________________________________________________________________ _Date of submission (MM/DD/YY): An initial listing applicant does not damage the reputation of the market of the Exchange and is a company that is suitable for listing on such market.0In meeting this, the J-Adviser must:- Necessary and appropriate due diligence (hereinafter "DD") of the corporate group of the initial listing applicant should be conducted. In DD, necessary and appropriate investigation and confirmation should be conducted for matters concerning business activities (including business model, business environment, and risk factors), finance and legal affairs (including matters that have a serious effect on business management such as the legal system of the country where the applicant was incorporated or where its sales activities are conducted), etc. of the corporate group of the initial listing applicant.%- When outsourcing DD to a third party, such DD should be conducted by a suitable outside professional.%  An initial listing applicant conducts business fairly and in good faith.0In meeting this, the J-Adviser must:- It should be confirmed that the corporate group of the initial listing applicant does not provide or receive unfair gains to/from a related party or other specified party through transactions and other business activities.%- It should be confirmed that officers of the initial listing applicant are not in conditions that would impair the fair, faithful, and adequate execution of duties as an officer of such initial listing applicant.%  The corporate governance and internal management structure of an initial listing applicant is appropriately developed in accordance with corporate scale and maturity, etc. and functions properly.In meeting this, the J-Adviser must:- It should be confirmed that a system is in place to ensure proper execution of duties of officers of the corporate group of the initial listing applicant and that such system functions properly.%- It should be confirmed that an internal control system is properly developed and managed to ensure effective management activities of the corporate group of the initial listing applicant.% - It should be confirmed that human resources necessary for stable and continuous execution of management activities and for maintenance of an internal control system of the corporate group of the initial listing applicant is secured.% - It should be confirmed that the corporate group of the initial listing applicant adopts accounting standards that are suitable for its situation and that the necessary accounting organization is properly developed and managed.% - An effective system for compliance with laws and regulations concerning management activities and other matters of the corporate group of the initial listing applicant is properly developed and managed.%  An initial listing applicant carries out disclosure of corporate content and risk information, etc. appropriately and has developed a system D2 8 < > z | ~ 콥}dZM41hih-{IB*CJKHOJPJQJ^JaJphhih:9)OJQJ^JhiOJQJ^J1hDZ$h:9)@B*CJKHOJQJ^JaJph&hihi5CJOJQJ\^JaJh{mWhP5>*h{mWhi5>*.h&hi5CJKHOJPJQJ\^JaJ3jh&}h&0J5CJOJQJU\^JaJ)h&}h&5CJOJQJ\^JaJo(&h&}h&5CJOJQJ\^JaJ< > | ~ }o$$1$Ifa$gd1j$$1$Ifa$gd1jIkd$$Ifc%&%%644 ca^p yt-{I $1$Ifgd&$a$gd&$a$gdigd $1$a$gd&    Ի~r~Y@-~$hihPCJKHOJQJ^JaJ1hihPB*CJKHOJPJQJ^JaJph1hihPB*CJKHOJPJQJ^JaJphh:9)0JOJQJ^JhihP0JOJQJ^J1hihkB*CJKHOJPJQJ^JaJph(hihkCJKHOJPJQJ^JaJ1hhB*CJKHOJPJQJ^JaJph1hihkB*CJKHOJPJQJ^JaJph$hihkCJKHOJQJ^JaJ   0akd$$Ifc0<%A%644 ca^pytP$$1$Ifa$gd1j$$1$Ifa$gdeRkdl$$Ifc%&%   %644 ca^p yt-{I  ̷倷mR91hihkB*CJKHOJPJQJ^JaJph4hihP6B*CJKHOJPJQJ^JaJph%hihkh,u0J6OJQJ^JhihP0JOJQJ^J$hihPCJKHOJQJ^JaJ(hkhPCJKHOJPJQJ^JaJ(hkhkCJKHOJPJQJ^JaJ1hihPB*CJKHOJPJQJ^JaJphhk0JOJQJ^Jhh0JOJQJ^J tt$$1$Ifa$gdr akd$$Ifc0<%A%644 ca^pytP$$1$Ifa$gdk$$1$Ifa$gd.|~>0$$1$Ifa$gd4 CRkd$$Ifc%%   %644 ca^p yt .$$1$Ifa$gdkakdd$$Ifc0<%A%644 ca^pytPz|~îzaN?3h .0JOJQJ^Jhh0JOJQJ^J$hihPCJKHOJQJ^JaJ1hihPB*CJKHOJPJQJ^JaJph1hihPB*CJKHOJPJQJ^JaJphh:9)0JOJQJ^JhihP0JOJQJ^J(hihPCJKHOJPJQJ^JaJ$hihkCJKHOJQJ^JaJhihk0J6OJQJ^J1hhB*CJKHOJPJQJ^JaJph$$1$Ifa$gd1jakd$$Ifc0<%A%644 ca^pyt .$$1$Ifa$gd1jBDFHJLVnҿnS:%(hhCJKHOJPJQJ^JaJ1hihkB*CJKHOJPJQJ^JaJph4hihP6B*CJKHOJPJQJ^JaJph:hihkh,u6B*CJKHOJPJQJ^JaJph(hihPCJKHOJPJQJ^JaJhh0JOJQJ^JhihP0JOJQJ^J$hihPCJKHOJQJ^JaJ1hihPB*CJKHOJPJQJ^JaJph(hkhkCJKHOJPJQJ^JaJ DJ$$1$Ifa$gdk$h$IfYDda$gdPakdV$$Ifc0<%&A%644 ca^pytPJLop<.$$1$Ifa$gdcRkd$$Ifc%&%   %644 ca^p ytR2u$h$IfYDda$gdkakd$$Ifc0<%&A%644 ca^pytPnop[\ ÷ÞrcWBr>cWBh(hkhkCJKHOJPJQJ^JaJh .0JOJQJ^Jhh0JOJQJ^J$hihPCJKHOJQJ^JaJ1hihPB*CJKHOJPJQJ^JaJph1hihPB*CJKHOJPJQJ^JaJphh:9)0JOJQJ^JhihP0JOJQJ^J$hihkCJKHOJQJ^JaJ4hihk6B*CJKHOJPJQJ^JaJph\]}}o$$1$Ifa$gdk$$1$Ifa$gd,oakdh$$Ifc0<%A%644 ca^pytP$$1$Ifa$gd1j$$1$Ifa$gdk $$Ifa$gd .akd$$Ifc0<%A%644 ca^pytP`bdfhjn2468:<@ѾѾxexMѾxeMѾ.hihkh,u0J6B*OJQJ^Jph%hh0JB*OJQJ^Jph%hihP0JB*OJQJ^Jph(hkhkCJKHOJPJQJ^JaJhh0JOJQJ^JhihP0JOJQJ^J$hihPCJKHOJQJ^JaJ4hihP6B*CJKHOJPJQJ^JaJph%hihkh,u0J6OJQJ^Jbh$$1$Ifa$gdk$h$IfYDda$gdPakd$$Ifc0<%A%644 ca^pyt .hj4:$$1$Ifa$gdk$h$IfYDda$gdPakd$$Ifc0<%A%644 ca^pyt .:<$$1$Ifa$gdk$h$IfYDda$gdPakd$ $$Ifc0<%A%644 ca^pyt .HHI<.$$1$Ifa$gdMxRkdf $$Ifc%%   %644 ca^p ytR2u$h$IfYDda$gdkakd $$Ifc0<%A%644 ca^pyt .HHHHH IIIII"IKKͰiP=.ihh0JOJQJ^J$hihPCJKHOJQJ^JaJ1hihPB*CJKHOJPJQJ^JaJph1hihPB*CJKHOJPJQJ^JaJphh:9)0JOJQJ^JhihP0JOJQJ^J$hihkCJKHOJQJ^JaJ4hihk6B*CJKHOJPJQJ^JaJphU1hhB*CJKHOJPJQJ^JaJph1hihkB*CJKHOJPJQJ^JaJphand framework which enables it to fulfill its disclosure obligations based on the Special Regulations.In meeting this, the J-Adviser must:- It should be confirmed that the corporate group of the initial listing applicant properly manages corporate information such as facts that have a material influence on management and make it available for timely and adequate disclosure to investors. It should also be confirmed that a system to prevent insider trading is properly developed and managed.%- As for Specified Securities Information, etc. submitted by the initial listing applicant, it should be confirmed that such information is properly prepared based on the Special Regulations of Securities Listing Regulations Concerning Specified Listed Securities and includes matters that should be considered as risk factors of the initial listing applicant based on the industry sector and business category of the corporate group of the initial listing applicant.%  No relations with anti-social forces and other matters deemed necessary by the Exchange from the perspective of the public interest and investor protection. In meeting this, the J-Adviser must:- It should be confirmed that the corporate group of the initial listing applicant has developed an internal system to prevent the involvement of anti-social forces in its management activities and makes efforts, and that the actual condition is appropriate from a perspective of public interest and investor protection.%- In concluding an agreement between a J-Adviser and an initial listing applicant stipulated by the Special Regulations of Securities Listing Regulations Concerning Specified Listed Securities, it should be confirmed that the initial listing applicant accurately understands the Special Regulations, relevant laws and regulations and details of such agreement. It should also be confirmed that the initial listing applicant has developed a system to properly exchange information with its J-Adviser.- The applicant is confirmed to be appropriate from the perspective of the public interest and investor protection. 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