prescribed in the Notification of the Capital Market Supervisory Board governing prohibited characteristics of personnel in securities business. Clause 10. The approval to be listed in the register of person
register of person qualified to be fund manager according to Clause 7 and Clause 8 shall not have prohibited characteristics as prescribed in the Notification of the Capital Market Supervisory Board
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
Notification: (1) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the
relevant Notification of the Capital Market Supervisory Board relative to Prohibited Characteristics of Personnel in Securities Business; (3) of which major shareholder or any person holding more than 10% of
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities