approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital
licensed securities business, except when an approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and
Approval on Establishment of a New Limited Company or Public Limited Company to Undertake Securities Business in the Category of Private Fund Management Report/Form (Notification of Securities and Exchange
, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to amend private fund agreement, as the case may be, to comply with the
perform as following: (1) In the case of close-end fund or private fund, management company shall submit an application for an approval to amend mutual fund management scheme to the Office, or performing to
transaction just in case of obtaining an approval from mutual fund supervisor in written before executed each transaction. Clause 17. Affiliated transaction for private fund as following shall have a consent in
Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019
markets, business sector and people. Throughout this year, there will be the regulatory revisions to lessen burden of the private sector. These include reduction of procedures and implementation
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 30/2558 Re: Approval of Foreign Auditors Whereas Section 61, Section 89 and Section 199 of the Securities and