1. The Plaintiff’s business year of 2009 against the Plaintiff on October 11, 2013, which the Defendant had against the Plaintiff, was April in the year immediately preceding the 2009.

1. Details of the disposition;

A. The Plaintiff is a foreign securities company that operates securities business in the United States with the law governing the laws governing the State of the United States of America as the governing law. On December 18, 1998, the Plaintiff established a branch office in the Republic of Korea in the form of a branch office, and engages in the sale and purchase and sale of securities, price index, futures option, etc., and the present business office is located in Jongno-gu Seoul, Jongno-gu.

(b) Stock warranty securities and liquidity suppliers 1) Stock warranty securities (Equitable Linked Want, ELW) stock warranty securities (hereinafter referred to as “ELW”);

(1) The term “securities issued in accordance with the criteria prescribed by the Enforcement Rule of the Securities and Exchange Act” under Article 2-3(1)6 of the former Enforcement Decree of the Securities and Exchange Act (repealed by Article 2 of the Addenda to the Enforcement Decree of the Financial Investment Services and Capital Markets Act, amended by Presidential Decree No. 20974, Jul. 29, 2008) refers to securities issued in accordance with the criteria under Article 2-3(1)6 of the former Enforcement Decree of the Securities and Exchange Act (amended by Presidential Decree No. 20974 of the Financial Investment Services and Capital Markets Act), where the basic assets of stock certificates or the stock price index (hereinafter “stock certificates or stock price index”) are underlying assets under pre-determined to the price determined in advance at a certain time in the securities market or the price fluctuation in the stock price index (hereinafter “stock certificates or stock price index”), and in the case of the right to purchase or sell them, the securities market is referred to as “securities option” under Article 20(2)1 to 20(3) of the former Enforcement Decree.