instruments and the examination of the management on compliance with the prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good
, [ii] attend training courses or pass the examination of courses provided by the SEC Office or the organizations recognized by the SEC Office and [iii] have scope of duties, as specified in the Tables of
with integration of management structure and measures for prevention, examination, monitoring of and response to human rights violations, so as to maintain customer data security and privacy. 2
Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC
work experience and [ii] attend training courses or pass the examination of courses provided by the SEC Office or the organizations recognized by the SEC Office, as specified in the tables of
cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a
age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a training institute or having completed the courses that are approved by the Office; (4) Being
examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking of the applicant’s business within the period of 3
; □ (2) Copy of the memorandum summarizing the examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking