, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2) providing a compliance supervisor of investment advisory company

: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company

should be prescribed. 4. Criteria for selection of personnel for each unit shall encompass the educational background and related work experience. Such personnel should not have record in violation of the

educational background and related work experience. Such personnel should not have record in violation of the relevant ethics. 5. Having a performance appraisal system of personnel for every unit. 6. The

other requirements, e.x., having performed audit work and affixed signature to express an opinion on audit reports as well as not having prohibited characteristics. In this respect, details of the

funds and Trusts must be reviewed or audited, as the case may be, by the auditors. Auditors' report pursuant to Paragraph 1 shall not be illustrative meaning that: (1) the preparation and disclosure of

Provisions relating to Offer for Sale of Shares Issued by Foreign Company of which Shares are not Traded in Foreign Exchange

Guideline on Consideration of Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business in Category of Investment Advisory Service

Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Derivatives Business in the Category of Derivatives Advisor

Exchange Commission  OrNor. 3/2544 Re: Registration of Persons Qualified to Be a Mutual Fund Supervisor (codified as of 09/03/2004) (Synopsis)   19/03/2001 6. Report/Form (Notification of Securities and