{B}'s action was also deemed as breach of duty by performing investment analyst or investment consultant duty without obtaining the SEC's approval. Their actions were classified as prohibited
seeking an approval to act as a mutual fund manager shall not possess any of the following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an
following prohibited characteristics: (1) Being a bankrupt; (2) Having been imprisoned by a final court judgment for an offense relating to property committed with dishonest intent; (3) Having been an
the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2
meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2) “Property Fund
meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2) “Fund Manager
firm or equivalent; (3) being attached to only one audit firm and such audit firm shall have the characteristics as prescribed by Clause 11; (4) not possessing any prohibited characteristics as
” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company