the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person responsible for the work of a department in the company

directors to take the highest responsibility in managing the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person

qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the job title; (5

job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the

. “lead appraiser” means a personnel of the appraisal company in capital market affixing the signature in the appraisal report for capital market transaction, as practicing appraiser. 2 “capital market

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in the manner that implies dishonesty, affecting the reliability of capital market business personnel in a significant manner, both of which are considered prohibited characteristics of the capital

securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the

under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market