Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was
giving advice on trading derivatives contracts with underlyings of gold, precious metals, oil and foreign currencies, in a foreign market beyond the scope of permissible businesses granted to her employer
rules for giving of investment advice and providing service related to trading of investment units, mutatis mutandis, except the case where specific requirements have been specified in this Notification
advance about the hours and days on which such order will not be placed; (2) complying with requirements as specified in the Notification of the Capital Market Supervisory Board relating to rules for giving
on which the advice is given or order is placed, as the case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been
case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been completed within such period, the record of such advice
, determination of investment policy, regular company performance monitoring, discussion with company management, exercise of voting right at shareholders? meeting and giving emphasis to reasons or necessity of
to have personnel responsible for soliciting, or giving advice related to derivatives trading for customer, Clause 19, Clause 20, Clause 21, Clause 22 and Clause 25 only with respect to the review of
derivatives only with institutional investor counter party. Clause 4. 3 4 The provision of Clause 12 only with respect to an arrangement to have personnel responsible for soliciting, or giving advice related to