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韩国金融控股公司法执行令

韩国金融控股公司法执行令
韩国金融控股公司法执行令

ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

Presidential Decree No.17014,Dec.20, 2000

Amended by Presidential Decree No.17291,Jul.7,2001

Presidential Decree No.17716,Aug.21,2002

Presidential Decree No.17791,Dec.5,2002

Presidential Decree No.18297,Feb.28,2004

Presidential Decree No.18312,Mar.17, 2004

Presidential Decree No.18596,Dec.3, 2004

Presidential Decree No.18736,Mar.8, 2005

Presidential Decree No.18334,May26, 2005

Presidential Decree No.19422,Mar.29, 2006

Presidential Decree No.20331,Oct.23, 2007

Presidential Decree No.20367,Nov.12, 2007

Presidential Decree No.20653,Feb.29, 2008

Presidential Decree No.20947,Jul.29, 2008

Presidential Decree No.21155,Dec.3, 2008

Presidential Decree No.21214,Dec.31, 2008

Presidential Decree No.21291,Feb.3, 2009

Presidential Decree No.21518,May29, 2009

Presidential Decree No.21765,Oct.1, 2009

Presidential Decree No.21776,Oct.9, 2009

Article 1 (Purpose)

The purpose of this Decree is to provide for matters delegated by the Financial Holding Companies Act and matters needed for the enforcement thereof.

Article 2 (Scope of Financial Business, etc.)

(1) The term “financial business” in Article 2 (1) 1 of the Financial Holding

Companies Act (hereinafter referred to as the “Act”) means financial and insurance business in accordance with the Korean Standard Industrial Classifications announced by the Commissioner of the Korea National Statistical Office under Article 22 (1) of the Statistics Act.

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

(2) The term “companies closely related to the operation of financial business” in Article 2 (1) 1 of the Act means companies aiming at the operation of businesses in any of the following subparagraphs:

1. Provision of services, such as computation and data processing, to

companies conducting financial businesses (hereinafter referred to as “financial institutions”);

2. Management of real estate and other assets in possession of financial

institutions;

3. Investigation and research related to financial businesses; and

4. Other businesses directly related to the businesses unique to financial

institutions.

(3) The term “standards prescribed by Presidential Decree” in Article 2 (1) 1 of the Act means that a company becomes the largest contributor [in cases where the affiliated company is a private equity fund established under the Capital Market and Financial Investment Business Act (hereinafter referred to as “private equity fund”), a managing partner of such private equity fund] to an affiliated company (excluding companies which fall under any of the following subparagraphs; hereinafter referred to as an “affiliated company”) under subparagraph 3 of Article 2 of the Monopoly Regulation and Fair Trade Act solely or jointly with the persons as referred to in subparagraphs 1 and 2 of Article 11 of the Enforcement Decree of the Monopoly Regulation and Fair Trade Act (hereafter referred to as a “specially related person” in this paragraph): Provided, That cases where the number of stocks held by the company is smaller than the number of stocks held by each specially related person shall be excluded:

1. Where a small or medium enterprise start-up investment company

established under the Support for Small and Medium Enterprise Establishment Act has acquired the stocks of another domestic company with the aim to invest in its founder, such other domestic company;

2. Where a venture capital business operator established under the

Specialized Credit Financial Business Act has acquired the stocks of another domestic company with the aim to support venture businessmen, such other domestic company;

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

3. Where a private equity fund has acquired the stocks of another company

to increase the value of the invested company in order to distribute such profits to its personnel, such other company; and

4. Where a subsidiary or lower-tier subsidiary (in cases which fall under

the proviso to Article 19 (2) of the Act, including the companies controlled by the lower-tier subsidiary; hereinafter referred to as “subsidiary, etc.”) of a financial holding company have acquired the stocks of a company (limited to companies falling under Article 51-2

(1) 6 of the Corporate Tax Act) to carry out a solicited private investment

project designated by the competent authority under Article 8-2 of the Act on Private Participation in Infrastructure, such company to carry out a solicited private investment project.

(4) The primary business referred to in Article 2 (1) 1 of the Act means

that the aggregate of the value of stocks (including shares; hereinafter the same shall apply) of a subsidiary (excluding foreign corporations) held by a company is 50/100 of the total amount of assets of the relevant company or more. In such cases, the stock value of the subsidiary and the total amount of assets of the relevant company shall be based on those shown in the balance sheet as at the date which falls under any of the following subparagraphs (hereinafter referred to as the “base date”):

1. In cases of a company which is newly established, merged or incorporated

by division, merger through division or physical division in the relevant business year, the date of registration of establishment, date of registration of merger or date of registration of division, respectively;

2. In cases of companies, other than those in subparagraph 1, the date

of settlement of accounts of the preceding business year: Provided, That in cases where, because the total amount of stock values of a subsidiary exceeds 50/100 of the total amount of assets of the relevant company before the date of settlement of accounts of the relevant business year, it is intended to obtain authorization under Article 3 of the Act, the date on which such cause occurred.

Article 3 (Scope of Specially Related Persons)

(1) The term “person having special relationship, prescribed by Presidential

Decree, with the former” in Article 2 (1) 7 of the Act refers to any person having relationship defined in any subparagraph of Article 1-4 (1) of the

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

Enforcement Decree of the Banking Act with the subject person (hereinafter referred to as a “specially related person”).

(2) Notwithstanding paragraph (1), a person falling under any of the

following subparagraphs shall be excluded from the scope of the same person under Article 2 (1) 7 of the Act:

9, 2009>

1. A company conducting projects subject to private investment which

are designated by the competent authority under Article 8-2 of the Act on Private Participation in Infrastructure: Provided, if the company is not the same person including a fund under Article 5 of the National Finance Act or a corporation managing and operating such fund (including corporations entrusted to manage and operate funds under Acts; hereinafter referred to as “fund, etc.”), such company shall be limited to companies falling under Article 51-2 (1) 6 of the Corporate Tax Act;

2. If a bank (referring to a financial institution with authorization under

the Banking Act; hereinafter the same shall apply) or a financial institution which is a subsidiary, etc. of a bank holding company acquires (including cases corresponding thereto) stocks of another company in order to adjust corporate restructuring under the Corporate Restructuring Promotion Act or the Debtor Rehabilitation and Bankruptcy Act, the other company; and

3. If a private equity fund falling under any of the following items acquires

stocks of another company for the purpose of increasing the value of the company in which the private equity fund has invested and then distributing profits therefrom to its partners, the other company:

(a) A private equity fund which is a subsidiary of a financial institution

under Article 37 (2) 1 of the Banking Act; and

(b) A private equity fund which is a subsidiary, etc. of a bank holding

company.

[This Article Wholly Amended by Presidential Decree No. 21155, Dec. 3, 2008]

Article 3-2 (Definition of Non-Financial Contributor)

(1) The term “finance business prescribed by Presidential Decree” in Article

2 (1) 8 (a) of the Act means the types of business under Article 2 (1)

or services referred to in each subparagraph of paragraph (2) of the same Article.

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

(2) The term “amount prescribed by Presidential Decree” in Article 2 (1)

8 (b) of the Act means two trillion won.

[This Article Newly Inserted by Presidential Decree No. 17716, Aug. 21, 2002]

Article 3-3 (Criteria for Exercise of De Facto Influence and Participation in Management)

(1) A person who exercises de facto influence in major affairs of management

pursuant to Article 2 (1) 9 (b) and 10 (b) of the Act shall be a person falling under any of the following subparagraphs:

1. A stockholder who has appointed the representative or a majority of

the directors of a financial holding company (referring to a bank holding company in cases of Article 2 (1) 10 (b) of the Act) by himself/herself, or by means of the agreement, contract, etc. with other stockholders;

and

2. A person designated by the Financial Services Commission, who is

recognized as exercising dominant influence in major decision-making or the execution of affairs of a financial holding company and its subsidiaries and lower-tier subsidiaries [in cases of Article 2 (1) 10

(b) of the Act, referring to a bank holding company and its subsidiaries

and lower-tier subsidiaries (hereinafter referred to as “bank holding company, etc.”)], such as managerial strategy and changes of organization.

(2) A person who participates in the management of the relevant financial

institution as a non-financial contributor through the appointment or dismissal of executives, etc. under Article 2 (1) 10 (b) of the Act shall be a person falling under any of the following subparagraphs:

1. Where the aggregate of the numbers under each item is not less than

the number prescribed and publicly announced by the Financial Services Commission, the relevant stockholder:

(a)If the stockholder has appointed a director of a bank holding company

or bank which is a subsidiary, etc. of the bank holding company

by himself/herself or by means of the agreement, contract, etc. with

other stockholders, the number of the directors appointed; and

(b)If the relevant stockholder and his/her specially-related persons

(if the relevant stockholder and his/her specially-related persons

are corporations, including the employees thereof) becomes directors

(including person falling under Article 401-2 (1) 3 of the Commercial

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

Act) of the relevant bank holding company and a bank which is

a subsidiary, etc. of the bank holding company, the number of the

directors;

2. A person eligible to restrict the authority of the representative or director

of a bank holding company, etc. with respect to major decision-making, such as managerial strategy and change of organization, and the execution of affairs, such as management of assets, under the agreement, contract, etc. with the relevant bank holding company, etc.; and

3. Others designated by the Financial Services Commission, who are

recognized as involving in major decision-making or the execution of affairs of the relevant bank holding company, etc.

[This Article Wholly Amended by Presidential Decree No. 21776, Oct. 9, 2009]

Article 3-4 (Criteria for Total Amount of Assets of Financial Holding Companies Subject to Authorization)

The term “entity the total amount of assets of which exceeds the amount prescribed by Presidential Decree” in Article 3 (1) of the Act means a company the total amount of assets of which exceeds 100 billion won in the balance sheet as of the base date.

[This Article Newly Inserted by Presidential Decree No. 20367, Nov. 12, 2007]

Article 4 (Application for Authorization)

(1) Any person who intends to obtain authorization under Article 3 (1)

of the Act shall file an application, in which matters in the following subparagraphs are stated, with the Financial Services Commission;

1. Trade name of the financial holding company and its subsidiaries,

etc. (hereinafter referred to as “financial holding company, etc.”);

2. Location of the main office of the financial holding company, etc.;

3. Name, resident registration number and address of the representative

and officers of the financial holding company, etc.;

4. Matters concerning the capital of the financial holding company, etc.;

5. Matters concerning man power and physical facilities of the financial

holding company, etc.; and

6. Type of business run by subsidiaries, etc.

(2) The following documents shall be attached to the application for authorization under paragraph (1): Provided, That in cases where it is possible to verify information in the documents to be attached through

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

the joint use of administrative information under Article 21 (1) of the Electronic Government Act, verification by such may substitute for the documents to be attached.

Presidential Decree No. 18834, May 26, 2005; Presidential Decree No. 20653, Feb. 29, 2008; Presidential Decree No. 21776, Oct. 9, 2009>

1. Articles of incorporation of the financial holding company, etc.;

2. Business plans (including estimated financial statements) and

estimated statement of accounts concerning earnings of the upcoming three business years of the financial holding company, etc.;

3. Documents in which the location and name of the main office, branch

office, etc. of the financial holding company, etc. are entered;

4. Certified transcripts of register of subsidiaries, etc.;

5. Financial statements and documents annexed thereto, of the financial

holding company, etc.;

6. Resumes and career certificates of officers of the financial holding

company, etc.;

7. Names or titles of stockholders holding 1/100 or more of the total

number of issued stocks of the financial holding company, etc. as of the date of application for authorization and a document indicating the number of such stocks; and

8. Other documents necessary for the examination of requirements for

authorization under the Act and this Decree, as determined by the Financial Services Commission.

Article 5 (Detailed Criteria for Authorization)

(1) The business plan of a financial holding company, etc. under

subparagraphs 1 and 2 of Article 4 (1) of the Act shall meet all the criteria set forth in the following subparagraphs:

18834, May 26, 2005; Presidential Decree No. 20367, Nov. 12, 2007; Presidential Decree No. 20653, Feb. 29, 2008; Presidential Decree No. 20947, Jul. 29, 2008>

1. The business plan is required to be appropriate for the continuous

operation of the relevant business and the estimated financial statements and earnings prospects are required to be appropriate in light of the business plan;

2. The method to procure funds, such as the capital to be used for the

promotion of the business plan, is required to be appropriate;

3. The business plan must not contravene Acts and subordinate statutes

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

and not be feared to disrupt the sound order of the financial market; 4. In cases where a subsidiary intends to control a lower-tier subsidiary,

the subsidiary is required to hold 50/100 [30/100, in cases where the lower-tier subsidiary is a listed stock company under the Capital Market and Financial Investment Business Act (hereinafter referred to as a listed stock company”) or the lower-tier subsidiary which issued stocks in a foreign country has listed such stocks on foreign markets, as recognized by the Financial Services Commission in consideration of the stability, liquidity, transparency of such foreign markets and the level of public notice, self-regulation system, etc. of foreign exchanges;

hereinafter referred to as “criteria for holding of stocks of a lower-tier subsidiary”] or more of the total number of issued stocks of the lower-tier subsidiary: Provided, That the same shall not apply to cases which fall under any of the following items:

(a) Where the subsidiary already controlling the other company at

the time of its incorporation into a subsidiary has submitted a business plan proper to meet the criterion for holding of stocks of

a lower-tier subsidiary within two years from the date of its

incorporation into a subsidiary; and

(b) Where the subsidiary which intends to control a lower-tier subsidiary

which is a foreign corporation, has submitted a business plan appropriate to secure de facto control under Article 21-2 (1) even if such subsidiary holds the stocks of the lower-tier subsidiary below the criterion for holding of stocks of a lower-tier subsidiary;

4-2. In cases where a subsidiary which is a foreign corporation, intends to control a lower-tier subsidiary, such lower-tier subsidiary must not be a domestic financial institution; and

5. The business plan must not violate matters concerning the restrictions

on the acts of holding companies under Article 8-2 (2) of the Monopoly Regulation and Fair Trade Act and matters concerning the restrictions on the establishment of holding companies under Article 8-3 of the same Act, and must not actually restrict competition in relevant markets.

(2) The term “persons determined by Presidential Decree” in Article 4 (1) 3 of the Act means persons who fall under any of the following subparagraphs:

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

1. The largest stockholder of a corporation which is the largest stockholder;

2. The representative of a corporation which is the largest stockholder; and

3. Stockholders who exercise de facto influence over major managerial

affairs of a corporation which is the largest stockholder.

(3) Large stockholders shall meet the requirements set forth in annexed Table 1: Provided, That the same shall not apply to cases of a person who falls under any of the following subparagraphs:

1. The Korea Finance Corporation under the Korea Finance Corporation

Act;

2. The Korea Deposit Insurance Corporation established under the

Depositor Protection Act;

3. The Korea Asset Management Corporation established under the Act

on the Efficient Disposal of Non-Performing Assets, etc. of Financial Institutions and the Establishment of Korea Asset Management Corporation;

4. The Korea Development Bank established under the Korea Development

Bank Act;

5. Any person who becomes a large stockholder by means of an all-inclusive

share swap under Article 360-2 of the Commercial Act (hereinafter referred to as “share swap”) or all-inclusive share transfer under Article 360-15 of the same Act (hereinafter referred to as “share transfer”): Provided, That a person who becomes the largest stockholder, holding 10/100 or more of the total number of issued stocks with voting rights of a financial holding company by means of share swap or share transfer shall be excluded.

(4) The detailed criteria for the financial standing and soundness of business management conditions under Article 4 (1) 4 of the Act shall be as mentioned in the following subparagraphs:

1. The equity capital of a financial holding company, etc. is required

to meet the criteria for capital adequacy determined and announced by the Financial Services Commission under subparagraph 1 of Article

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

28; and

2. The business management condition of such subsidiary, etc. is required

to be sound as discovered from an assessment of the soundness of business management of subsidiaries, etc. conducted under the conditions determined and announced by the Financial Services Commission.

(5) The ratio of share swap (the rate obtained by dividing the highest price by the lowest price from among the share swap price of the company which becomes a complete parent company and swap price of the company which becomes a complete subsidiary) in cases of share swap or share transfer under Article 4 (1) 5 of the Act shall be determined, based on the prices in the following subparagraphs (in cases where a listed stock company is unable to calculate the price under subparagraph 1 or 2 (a), the price under subparagraph 2 (b)): Provided, That such ratio may be adjusted within the scope of 30/100 as agreed between the companies which are relevant parties of the share swap or share transfer: 1. The price calculated under Article 84-7 (1) 1 of the Enforcement Decree

of the Securities and Exchange Act in cases of share swap or share transfer between listed stock companies;

2. The price based on the criteria set forth in the following items in cases

of share swap or share transfer between a listed stock company and

a corporation which is not a listed stock company:

(a) The price calculated under Article 84-7 (1) 2 (a) of the Enforcement

Decree of the Securities and Exchange Act in cases of a listed stock company; and

(b) The price calculated under Article 84-7 (1) 2 (b) of the Enforcement

Decree of the Securities and Exchange Act in cases of a corporation which is not a listed stock company; and

3. The price calculated under Article 84-7 (1) 2 (b) of the Enforcement

Decree of the Securities and Exchange Act in cases of a share swap or share transfer between corporations which are not listed stock companies.

(6) The price calculated under paragraph (5) 2 shall be appraised by an outside appraisal organization for its propriety under Article 84-7 (2)

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

1 of the Enforcement Decree of the Securities and Exchange Act: Provided,

That the same shall not apply to cases where the rate of share swap is determined, based on the price calculated by a KOSDAQ-listed corporation (referring to a corporation which issues stocks listed on the KOSDAQ under the Capital Market and Financial Investment Business Act) under Article 84-7 (1) 1 of the Enforcement Decree of the Securities and Exchange Act.

(7) The Financial Services Commission may establish detailed criteria

for the detailed requirements in paragraphs (1) through (6).

Article 5-2 (Report of Financial Holding Company Subject to Authorization, etc.)

(1) The term “unavoidable causes determined by Presidential Decree” in

Article 5-2 (1) of the Act means cases which fall under any of the following subparagraphs:

1. Where the stock value of a subsidiary has increased;

2. Where the stockholders’ rights of a subsidiary have changed because

of reduction capital of the subsidiary, disposal of stocks held by other stockholders, or other causes similar thereto as determined and announced by the Financial Services Commission;

3. Where the total amount of assets of the financial holding company

subject to authorization under Article 5-2 of the Act (hereinafter referred to as a “financial holding company subject to authorization”) has decreased;

4. Where a financial holding company subject to authorization has come

to hold the stocks of a subsidiary because of the exercise of security right, acceptance of payment in kind, testamentary gift or other causes similar thereto as determined and announced by the Financial Services Commission;

5. Where a financial holding company subject to authorization has come

to hold the stocks of a subsidiary in the course of conducting the business of acquisition of securities under Article 9 (11) of the Capital Market and Financial Investment Business Act under the permission of the Financial Services Commission; and

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

6. Where a financial institution which amounts to a financial holding

company subject to authorization comes to hold the stocks of a subsidiary within the scope of operations or asset management under the Acts and subordinate statutes applicable to such financial institution, as determined and announced by the Financial Services Commission.

(2) The term “period determined by Presidential Decree” in Article 5-2

(1) of the Act means four months.

(3) The term “period determined by Presidential Decree” in the main

sentence of Article 5-2 (2) of the Act means one year.

[This Article Newly Inserted by Presidential Decree No. 20367, Nov. 12, 2007]

Article 5-3 (Controlling Relationship between Financial Institution and Financial Holding Company)

The term “controlling relationship prescribed by Presidential Decree” in the main sentence of Article 7 (1) of the Act with the exception of its subparagraphs means that a financial institution actually controls the business matters of a financial holding company according to the standards under Article 3 of the Enforcement Decree of the Monopoly Regulation and Fair Trade Act.

[This Article Newly Inserted by Presidential Decree No. 20367, Nov. 12, 2007]

Article 5-4 (Requirements for Permission of Controlling Relationship between Financial Holding Company and Other Financial Holding Companies)

(1) In cases where a financial holding company intends to establish

controlling relationship with another financial holding company in accordance with Article 7 (1) 1 of the Act, it shall meet all of the following requirements:

1. The financial holding company is required to hold the total number

of issued stocks of another financial holding company (hereinafter referred to as an “intermediary holding company”) with which it intends to establish a controlling relationship: Provided, That the same shall not apply to cases where a controlling relationship is intended to be established with an intermediary holding company to be established by means of share swap or share transfer and the requirements in each of the following items are satisfied:

(a) The financial holding company is required to hold 95/100 or more

of the total number of issued stocks of the intermediary holding

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

company; and

(b) The financial holding company is required to be unable to acquire

the total number of issued stocks of the intermediary holding

company due to unavoidable causes, such as cases where even though

the financial holding company has requested a person to be another

stockholder of the intermediary holding company (hereafter referred

to as a “minority stockholder” in this item) to sell such stocks, such

minority stockholder fails to sell such stocks within two months

from the date on which he/she received such request for sale or

the whereabouts of such minority stockholder is unable to be

confirmed;

2. The subsidiaries controlled by the same intermediary holding company

(excluding intermediary holding companies which control only subsidiaries which are foreign corporations) are required to operate the same type of business or business operationally related to one another: Provided, That the same shall not apply for two years from the date of incorporation into an intermediary holding company if any subsidiary exists the type of business of which is different or which is not operationally related to other subsidiaries at the time of incorporation into an intermediary holding company; and

3. The intermediary holding company is required not to control lower-tier

subsidiaries: Provided, That in cases where an intermediary holding company controls only subsidiaries which are foreign corporations, it may control lower-tier subsidiaries.

(2) The Financial Services Commission may determine and announce

detailed criteria for the requirements in each of the subparagraphs of paragraph (1).

[This Article Newly Inserted by Presidential Decree No. 20367, Nov. 12, 2007]

Article 5-5 (Requirements for Permission of Controlling Relationship between Investment Companies, etc. and Financial Holding Companies)

(1) In cases where an investment company (hereinafter referred to as

an “investment company”), private equity fund under the Capital Market and Financial Investment Business Act, or specific purpose company under the same Act (hereinafter referred to as a “specific purpose company”) intends to establish a controlling relationship with respect to a financial holding company under Article 7 (1) 2 of the Act, the relevant investment

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

company, private equity fund or special purpose company shall meet the requirements as classified in each of the following subparagraphs:

1. In cases of investment companies, all of the following requirements

shall be satisfied:

(a) The number of stocks held by a financial institution must be under

30/100 of the total number of issued stocks of the relevant investment

company; and

(b) No financial institution may exercise dominant influence over the

major managerial affairs of the relevant investment company;

2. In cases of private equity funds, all of the following requirements shall

be satisfied:

(a) No financial institution may be a managing partner of a private

equity fund;

(b) The shares held by a financial institution must be under 30/100

of the total amount of investment of the relevant private equity

fund; and

(c) No financial institution may exercise dominant influence over the

major managerial affairs of the relevant private equity fund; and

3. In cases of specific purpose companies, all of the following requirements

shall be satisfied:

(a) Each private equity fund which is a stockholder or partner of the

relevant specific purpose company must meet all of the requirements

in each item of subparagraph 2;

(b) The number of stocks or shares held by a financial institution must

be under 30/100 of the total number of issued stocks with voting

rights or total amount of investment of the relevant special purpose

company; and

(c) No financial institution may exercise dominant influence over the

major managerial affairs of the relevant special purpose company.

(2) The Financial Services Commission may determine and announce

detailed criteria for the requirements in each of the subparagraphs of paragraph (1).

[This Article Newly Inserted by Presidential Decree No. 20367, Nov. 12, 2007]

Article 5-6 (Requirements for Foreign Financial Institutions)

(1) The term “foreign financial institutions as prescribed by Presidential

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

Decree” in Article 7 (1) 3 of the Act mean companies and specially related persons thereto (hereinafter referred to as “foreign financial holding companies”) which control companies conducting banking business, securities business, insurance business and other businesses similar thereto as determined and announced by the Financial Services Commission in foreign countries (hereafter referred to as “business companies” in this Article) through holding stocks or exercising a dominant influence by means of appointment and dismissal of officers, etc. in order to manage the operation of the business companies.

(2) Any company holding the stocks of a domestic financial holding company

or a company exercising a dominant influence thereon from among foreign financial holding companies shall meet the requirements in each of the following subparagraphs:

1. The total amount of assets, scale of business, etc. must be appropriate

for conducting international business activities and have a high international credit rating; and

2. The capital adequacy ratio against risk-weighted assets in accordance

with the criteria set by the Bank of International Settlements must be 8/100 or more for the last three consecutive years or cases similar thereto, which meet the criteria as determined and announced by the Financial Services Commission.

(3) In the application of paragraph (2), in cases where, because the relevant

company is not a business company, it is difficult or unreasonable to apply the whole or part of the requirements in each of the following subparagraphs, if there exists a foreign financial holding company which is a business company (limited to a business company which actually controls the management of the relevant company or a business company of which management is actually controlled by the relevant company) satisfying the whole or part of the requirements, the relevant company shall be deemed to satisfy such requirements.

(4) The Financial Services Commission may determine and announce

detailed criteria for the requirements in each of the subparagraphs of paragraph (2).

[This Article Newly Inserted by Presidential Decree No. 20367, Nov. 12, 2007]

Article 5-7 (Requirements for Permission for Controlling Relationship

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

between Foreign Financial Institutions and Financial Holding Companies)

(1) In cases where a foreign financial institution intends to establish a controlling relationship with a financial holding company under Article 7 (1) 3 of the Act, it shall satisfy the requirements in each of the following subparagraphs:

1. Any foreign financial holding company is required to hold the total

number of issued stocks of a domestic financial holding company with which the foreign financial holding company intends to establish a controlling relationship (hereinafter referred to as a “domestic holding company”): Provided, That the same shall not apply to cases where

a controlling relationship is established with a domestic holding

company established by means of share swap or share transfer and the requirements in each of the following items are satisfied:

(a) The foreign financial holding company is required to hold 95/100

or more of the total number of issued stocks of the domestic holding company; and

(b) The foreign financial holding company is required to be unable

to acquire the total number of issued stocks of the domestic holding company due to unavoidable causes, such as cases where even though the foreign financial holding company requested a person to be another stockholder of the domestic holding company (hereafter referred to as a “minority stockholder” in this item) to sell such stocks, such minority stockholder fails to sell such stocks within two months from the date on which he/she received such request for sale or the whereabouts of such minority stockholder is unable to be confirmed; and

2. In cases where there exists a domestic financial institution which is

an affiliated company with a foreign financial holding company {excluding the relevant domestic holding company and the subsidiaries and lower-tier subsidiaries thereof (hereafter referred to as “domestic holding company, etc.” in this subparagraph); hereafter referred to as a “domestic affiliated company” in this subparagraph}, the requirements determined and announced by the Financial Services Commission based on the matters concerning restrictions on the acts of subsidiaries, etc. under Article 48 of the Act for credit extension,

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ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

asset transactions, stock holding, etc. between domestic affiliated company, domestic holding company, etc. are to be satisfied.

(2) The Financial Services Commission may determine and announce

detailed criteria for the requirements in each subparagraph of paragraph

(1).

[This Article Newly Inserted by Presidential Decree No. 20367, Nov. 12, 2007]

Article 5-8 (Termination of Controlling Relationship with Financial Holding Companies, etc.)

(1) The term “unavoidable causes determined by Presidential Decree” in

the main sentence of Article 7 (2) of the Act means cases which fall under any of the following subparagraphs:

1. Where there is change in the stockholder’s right of such company

because of reduction of capital of a financial holding company, disposition of stocks held by other stockholders, or other causes similar thereto as determined and announced by the Financial Services Commission;

2. Where a financial institution which has a controlling relationship with

a financial holding company (hereafter referred to as a “controlling

financial institution” in this Article) has come to hold the stocks of the financial holding company because of the exercise of security rights, acceptance of payment in substitutes, testamentary gift or other grounds similar thereto as determined and announced by the Financial Services Commission;

3. Where a controlling financial institution comes to hold the stocks of

a financial holding company in the course of conducting the business

of acquisition of securities under Article 9 (11) of the Capital Market and Financial Investment Business Act under the permission of the Financial Services Commission; and

4. Where a controlling financial institution rapidly comes to hold the

stocks of a financial holding company within the scope of the operation and asset management under the Acts and subordinate statutes applicable to such financial institution as determined and announced by the Financial Services Commission.

(2) The term “period determined by Presidential Decree” in the main

sentence of Article 7 (2) of the Act means one year.

17

ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

[This Article Newly Inserted by Presidential Decree No. 20367, Nov. 12, 2007]

Article 6 (Approval of Change of Large Stockholders, etc.)

(1) The term “criteria determined by Presidential Decree” in Article 7-2

(1) of the Act means those provided for in the annexed Table 1-2.

(2) Any person who intends to become a large stockholder shall meet the criteria under paragraph (1): Provided, That the same shall not apply to persons who falls under any of subparagraphs 2 through 4 of Article

5 (3).

(3) Any person who intends to obtain approval under Article 7-2 (1) of

the Act shall submit an application for such approval of change of large stockholder in which the details in each of the following subparagraphs are entered to the Financial Services Commission:

1. Matters concerning the applicant;

2. Status of holding of stocks issued by a financial holding company which

intends to become a large stockholder; and

3. Plan on the acquisition of stocks issued by a financial holding company

which intends to become a large stockholder.

(4) The application under paragraph (3) shall be accompanied by documents

in each of the following subparagraphs:

1. Articles of incorporation (limited to corporations);

2. In cases of a foreign company, a document corresponding to a certified

transcript of register of corporation;

3. Financial statements as of the end of the business year and semi-annual

financial statements after the end of the business year (limited to corporations);

4. Audit report and review report by an outside auditor on the financial

statements under subparagraph 3;

5. In cases where a person who intends to become a large stockholder

is a financial institution, financial conditions calculated according to the criteria for financial soundness applicable to such financial institution and review report thereon by an outside auditor; and

6. Other documents necessary for the examination of requirements for

approval, as determined by the Financial Services Commission.

(5) In cases where the application submitted under paragraph (3) has

18

ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

any defect, the Financial Services Commission may request to supplement such application. In such cases, the period of time to be spent in supplementing such application shall not be included in the period of time under paragraph (7).

(6) The Financial Services Commission shall, upon receipt of an application

under paragraph (3), verify the administrative information under the following subparagraphs through joint use of administrative information under Article 21 (1) of the Electronic Government Act: Provided, that if the applicant does not consent to the verification of certified transcript of a resident registration card under subparagraph 2, the applicant shall attach such document:

1.Certified transcript of a corporate register (limited to domestic

corporations);

2.Certified transcript of a resident registration card (a certificate of

business registration may be replaced); and

3.Certified transcript of a corporation register of a financial holding

company which intends to become a large stockholder.

(7) The Financial Service Commission shall, upon receipt of an application

under paragraph (3), confirm as to whether it meets the requirements under paragraph (1) and determine whether to grant approval therefor within 60 days from the date of receipt of the application and notify such fact to the applicant without delay. In such cases, if it disapproves, it shall indicate the reason therefor.

29, 2008>

(8) Other detailed matters concerning the method and procedure of

application for approval, etc. under Article 7-2 (1) of the Act shall be determined by the Financial Services Commission.

[This Article Wholly Amended by Presidential Decree No. 20367, Nov. 12, 2007]

Article 6-2 (Report on Status of Stock Holdings, etc.)

(1) The term “those prescribed by Presidential Decree” in Article 8 (2)

of the Act other than each subparagraph means a person falling under any of the following subparagraphs:

1. The Government;

2. The Korea Deposit Insurance Corporation;

3. The Korea Finance Corporation (limited to cases where stocks are

19

ENFORCEMENT DECREE OF THE FINANCIAL HOLDING COMPANIES ACT

acquired using the Financial Stability Fund established under the Act on the Structural Improvement of the Financial Industry);

4. A person approved by the Financial Services Commission under Article

8 (3) of the Act as cases where a person who was a stockholder, etc.

holding stocks in excess of the limit issued by a bank under Article 16-4 (1) of the Banking Act with approval of the Financial Services Commission under Article 15 (3) of the Banking Act holds stocks in excess of the limit under Article 10-2 of the Act issued by a financial holding company which controls the relevant bank as a subsidiary, etc.

through stock swap or stock transfer.

(2) The term “matters prescribed by Presidential Decree” in Article 8 (2) of the Act other than each subparagraph means the following:

1. Matters on the same person;

2. Matters falling under the following items in cases of a private equity

fund, etc. (referring to the private equity fund, etc. under Article 8-5

(1) of the Act; hereinafter the same shall apply):

(a)Stockholders or partners; and

(b)Contributions made by a limited partner or general partner of the

private equity fund;

3. Matters on the current status of stock holdings or changes thereof,

and the reasons therefor;

4. Matters on the purpose of stock holdings and the involvement in the

management of the bank holding company, etc.; and

5. Others prescribed and publicly notified by the Financial Services

Commission as detailed matters necessary for the confirmation of the status of stock holdings or changes in the ratio of stock holdings.

(3) The same person falling under any of the subparagraphs of Article 8 (2) of the Act shall report the matters under each subparagraph of paragraph (2) to the Financial Services Commission within five days (the days prescribed and publicly notified by the Financial Services Commission, such as the Workers’ Day under the Designation of Workers’ Day Act, shall not be included) from the date when the person falls under the grounds for reporting (if the relevant same person falls under the grounds for reporting even though the relevant same person does not acquire or sell stocks of a bank holding company, referring to the date the same person becomes aware of such grounds; hereafter the same shall apply in paragraph

20

限韩令真的假的中国限韩令原因

限韩令真的假的中国限韩令原因 中国限韩令真的假的?有关广电禁韩令、封杀韩国艺人在华活动的消息甚为流传。经多方消息证实:总局确有意向针对韩国艺人在华演艺活动进行限制,但准确来说应为“调控”,而非传闻的封杀。以下是分享给大家的关于中国限韩令原因,一起来看看吧! 最近限韩令闹得沸沸扬扬,还有多位韩国艺人在娱乐节目上被打码,大家都觉得以后很难在电视上看到自家欧巴和爱豆了,可是央视却用事实告诉了我们,限韩不是禁韩,只是限制过于泛滥而不是完全禁止,优秀的地方还要学习。 这不,在报道有关“影视剧演员片酬过高”的问题上列举了“韩国是如何解决影视剧主演片酬过高的问题”,并将在中韩两国都获得超高人气的《太阳的后裔》当成影视范例,央视在报道《太阳的后裔》时说:“2016年,韩国KBS电视台的一部战争爱情题材的电视剧;;《太阳的后裔》在中韩两国同步播出,取得了收视新高,也获得了中国观众的一致好评。”不可否认,《太阳》和国民老公宋仲基真的是火爆的不得了,连央视大大都知道了。 并且,央视还采访了《太阳的后裔》策划具体介绍韩国影视剧的片酬分配情况,例如《太阳的后裔》,每集制作投资约8亿5千万元韩元左右(约合人民币500万元),其中,男女主角得到的片酬在20%至30%,其余的投资用于支付其他演员的片酬以及各种制作团队的

费用,相比较中国而言相比中国韩国更重视编剧的创作。好莱坞演员的片酬占比也只有30%,而国内演员的片酬达到了50%到80%,大部分的经费占用导致其他经费不足,编剧配音等没有动力,故事情节越来越没劲,由此看来韩国的影视剧片酬分配值得我们学习。限韩不是禁韩应该理性分析对待~ 中国限韩令原因《首尔经济日报》8月4日最新报道,随着萨德系统的部署,中国政府限制韩国艺人和节目的举措全面开启,中国广电总局的禁令包含:禁止Bigbang、EXO等团体中国演出;停止新的韩国文化产业公司投资;停止韩国偶像团体面向1万名以上观众演出;禁止新签韩国电视剧、综艺节目合作项目;禁止韩国演员出演电视剧在电视台播放等多项规定的措施已经传达到各电视台,并要求在9月1日开始实施。 对此,Bigbang所属的YG娱乐向韩国媒体《先驱经济》表示,“未接到具体通知,Bigbang暂时也没有中国演出安排”。EXO所属的SM娱乐也确认“缺乏事实根据”。尽管上述公司无法确认禁令,但韩国娱乐界已普遍认为,即使不是事实,也能够体感到“寒流”的到来。韩国网络还盛传一个“中国CCTV发布限韩令”的新闻画面,虽然经调查,是合成的虚假画面,但亦能感受到,欲把“韩流”变成“寒流”的舆论气氛。 广电总局发布限韩令,谁的损失有张翰的大不满意韩部署萨德了,广电总局发布限韩令重伤韩国娱乐圈的事,估计大家都知道了吧。 所有的影视剧,只要有韩国明星参演,不管是已拍还是待拍,都

公司年会策划方案完整版

2015年公司年会策划方案 广州XXXX网络科技有限公司 营销部 2015/1/8 目录 二、会议地点 ..................................................................................................................................................... 引言

辞旧迎新之际,为展现公司日新月异、蓬勃发展的良好风貌,增进友谊、增强凝聚力,公司将举办2014年度总结表彰暨2015年迎新年会,以此来答谢各位员工一年来辛勤的工作与默默付出。 【年会主题】羊帆起航,再创辉煌 【年会时间】2015年1月31日至2月1日(暂定2天) 【年会地点】(待定) 【年会目的】 1、对2014年公司发展成绩总结,以及制定2015年公司总体规划,包括新年度 计划、方向、目标等。 2、加强员工之间的交流,增强团队协助的意识,提升公司的综合竞争能力。 3、表彰优秀,通过奖励方式,调动员工积极性,鼓励大家在新的一年,工作都 有出色的表现。 4、丰富员工生活,答谢全体员工一年以来付出的辛勤努力。 5、让员工充分的展现自我,在年会的过程中认知自我及对企业大家庭的认同 感。 6、加强领导与员工之间的互动,让我们在同一舞台共同交流、联欢。 【年会内容】本次年会内容分为五部分 第一部分年度年终总结会 光阴似箭,日月如梭。我们一起度过了一个紧张、忙碌的2014年,又迎来了崭新的2015年。在新的一年到来之际,我谨代表公司感谢公司的所有员工在2014年对公司做出的贡献,为了在2015年更好的完成公司安排的工作,我们在此召开年度总结大会,希望全体员工认真听讲、认真记录学习,现在我宣布大会开始。

忠 主题班会

“忠”主题班会 男:尊敬的老师 女:亲爱的同学们 合:大家下午好 男:天下兴亡,匹夫有责。正如雷锋所言:我是祖国的,祖国是我的。 女:爱国主义是中华民族的精神支柱,是炎黄子孙高尚的美德。不论在古代,还是在近代;不论是白色恐怖的过往,还是东风和煦的今天,都是如此。 男:过去的辉煌不容忘记,美好的明天需要奋斗,历史已经翻开了新的一篇,在激烈的国际竞争中,我们依然面临很多的挑战。 女:爱国这个字眼,我们在生活中并不少见,可又有多少人在时刻关注这我们祖国的一举一动呢? 男:就拿最近引起热议的韩国萨德事件来说吧,韩美方面步步施与中国巨大压力,又有多少同学毫无关心,无动于衷呢? 女:因此,今天,我们八年级二班应学校要求,再此举办“忠”主题班会,暨韩国萨德事件讨论会,来一起了解韩国萨德部署的前因后果。 一、国际背景 男:据朝鲜媒体报道,2016年1月6日,朝鲜进行第四次核试验并取得成功。此次核试验与前三次核试验有所不同,一是朝鲜事先均未通知中美两国,二是朝鲜宣称此次核试验成功的是“氢弹”。一个月后,2016年2月7日,朝鲜发射"光明星4号"卫星,并将卫星顺利送入轨道。 女:对此,国际社会一片哗然,韩美两国反应最为强烈,韩国总统朴槿惠呼吁联合国就朝方违反决议的举动立即采取"强力应对措施",美国总统国家安全事务助理苏珊?赖斯发表声明称,谴责朝方"挑衅且破坏地区稳定的"发射活动。随即,韩国国防部7日正式宣布,韩美双方决定正式启动商讨在驻韩美军基地部署"萨德"系统。对于韩美磋商部署萨德系统,中国政府表示严重关切明确反对。 男:相信许多同学都对这个萨德系统很感兴趣,尤其是男同学们,有谁可以为大家来简单的介绍一下这个萨德系统呢? (同学介绍) 女:感谢这位同学的发言,下面我们一起来看一下,什么是萨德系统? 男:萨德,全称末段高空区域防御系统。“萨德”反导系统全球最为先进,它是“全球唯一一款能在大气层内外拦截弹道导弹的陆基系统”。它既可在大气层内40千米以上的高空,又可在大气层外180千米以下的高度拦截来袭的弹道导弹。以后,我们中东部的每一架战机的升空,每一枚导弹的发射,都在它的监控之下。女:接下来看一下有关萨德的图片。 女:简单地说,“萨德”反导系统是为对付中国的中程弹道导弹、远程洲际弹道导弹量身打造的,是对中国“区域拒止”战略的针对性化解,是美国导弹防御体系的有效组成部分。该反导系统功能强大,攻防兼备,且具有信息情报侦查搜集功能,配套的雷达设施有效探测距离为2000千米,若部署韩国,其可检测覆盖

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浅谈“禁韩令” 今日随着中韩态势紧张,“禁韩令”潜移默化地渗入到早已熟悉韩剧韩综的我们身边。非要我评判这项举措的话,我是矛盾的,既想作为一个自豪的中国人“狠狠”地给韩国教训,又想看到韩娱力量刺激中国娱乐产业改革创新,让娱乐经济活力化,摆脱“抄袭”“山寨”的代名词。 文化入侵,在某程度上讲,对于一个民族,一个国家的确是需要严阵以待。美国的可口可乐,肯德基,麦当劳的魔性影响,韩国的娱乐文化影响,日本的动漫产业,这些影响渗透进国民的生活中。民为邦本,影响一个国家,先从人民“下手”,可见它国的“高明远见”,兵不血刃地让一群中国人为之痴迷。看日韩美剧,追日韩美明星,到韩国,日本旅游买化妆品,中国四处可见的韩食餐馆,寿司小店,披萨牛排店。韩国的影响之深,我是直到去年才意识到,《来自星星的你》里的都教授席卷中国广告业,连续几个月看他的脸霸屏,真不知道长相柔性的韩国人怎么会让这么多中国人痴迷,说到“痴迷”,不得不提韩国组合“BIGBANG”,粉丝的狂热足以让我感觉回到香港四大天王的辉煌岁月。“偶像无国界”这句话让我个人觉得可笑,因为在中韩形势紧张时,他们都一个个在国内粉丝面前表示自己的衷心,娱乐公司区别对待不同国境的粉丝,身边一个BIGBANG狂粉朋友在追粉路途上碰壁伤心时,难道就没有想过“国界面前无偶像”吗?“肥水不流外人田”干嘛过于较真外国人粉丝,世界上最遥远的距离就是你们是他的衣食父母,可他并不把你们放在心上,你们爱着他,可他并不知道,也不想知道。 追星无关痛痒,但是近几年的出国留学率持增不减,人才的不断流失,的确让国家受到文化入侵的一项打击。素质教育,国外的月亮比中国圆,留学镀金等等一系列思想渗入让中国家长挤破头地把子女送出国。今年暑假新播的《小别离》反映的就是当下中国风靡的“留学热”,诚然中国应试教育有不足之处,但还没到完全一无是处,浑身腐臭的地步,我们还不必那么急于去否定它。七八十年代的改革开放,对引入外企提出很多优惠政策,而现下市场垄断屡见不鲜,更别提质量报修无人保障。前段日子三星“爆炸事件”,不知是优惠政策让他们觉得中国人好欺负,还是这几十年让他们有着不知打哪来的中国经济离不开他们的自信感,让他们无视中国市场的反应,直接全身心上门“售后服务”美国去了,这时有愤怒,也有无奈,消费者权益保障法等相关法律能不能再硬气点。 万事万物都具有两面性。恍然意识到文化入侵的危机感,也不必急于立马否定,抵制它。国家之所以没有采取决断手段清除它,在于它带来的有利方面。从荷兰引入“中国好声音”,韩国引来的“奔跑吧兄弟” “极限挑战”,美国的“极速前进”等娱乐综艺节目,给中国大陆死气沉沉的室内访谈节目带来一股清流,并且由此激发一系列原创节目的出现。这仅仅只是反映在普通百姓的生活中,往大方面,中日韩旅游经济带动,产业文化交流互动,学术合作等等,由此促就了2002年的中日韩自由贸易经济区的提出,进行三方外交、科技、信息通信、财政、人力资源、环保、运输及物流、经贸、文化、卫生、央行、海关、知识产权、旅游、地震、灾害管理、水资源、农业等多方面协作,这些无疑是三方共赢的国家间合作战略。 就今日的“禁韩令”,我希望它是暂时的,只要达到了警示韩国的效果就可以了。因为,只有文化碰撞,才能让文化不断创新发展。

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据记者采访,目前并未签约唱片公司,比较喜欢自由的生活,一个人住在北京。回国本来的计划是和韩国成员李安一起在中国发展,最近因为限韩令的影响, 只能暂时放弃了计划,接下来专心准备个人中文新专辑。

据了解,采儿是一个比较可爱的女孩子,并非专业学习唱歌跳舞出身的她,和鹿晗一样被星探发现。经过三年的练习生生活,2013年8月16日和2NE1,EXO,BEAST等一起从音乐银行出道,属于后备。但是最值得赞扬的是边做练习生边读书,竟然惊人的完成了韩国汉城大学经营系的研究生学位,据爆料,她自称自己曾经是一个小胖子,减肥后的成为了潜力股,对于她的故事小编越来越好奇的想知道。 但是限韩令的出现,韩国总统坚持萨德的行为,这必将影响所有韩国歌手在中国的发展,但是作为一名中国人回到祖国怀抱,我相信这是对的。她说她曾经

一个人在韩国大街上流眼泪,我相信曾经的努力都是为了今天更好的开始,在韩国发展的中国籍歌手开始回到祖国怀抱,我相信都会有更好的发展,希望采儿也越来越顺利。

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