the public prosecutor to file a civil lawsuit against these 11 persons to the Civil Court to impose a civil monetary penalty at the maximum rate permissible under the law. Accordingly, the SEC will

evaluation by the SEC Office regarding the management of the operational risk and the customer relationship risk not higher than the medium level or in an acceptable level, unless granted an exemption from the

: _________________________________________________________ 4) Legal form of NRI CIS: legal entity1 unit trust any other structure acceptable to participating jurisdictions 5) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the

such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund committee

entering into such transaction. Clause 13 3 Appointing a custodian who is a connected person of a private fund management company is permissible only upon written consent of the client or the provident fund

, society and environment, by having meeting and tracking the risk management results, to find out that they are controlled and managed in the acceptable levels. From the following reasons concluding that the

that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the

manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules and regulations

derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules

such board of directors; (1) management of information technology risks which covers identification, assessment, and control of risks within the organization’s acceptable level; (2) allocation and