Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management 06/08/2009 16/08/2009 2. Notification of the Securities and Exchange Commission 1
business: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management; (6) derivatives broker. Clause 6 The total fees required to
each type of business: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management; (6) derivatives broker. Clause 6 The total
business in the category of securities brokerage, investment advisory service, mutual fund management, private fund management, securities dealing or securities underwriting which is not limited to debt
licensed to undertake securities business in the category of securities brokerage, investment advisory service, mutual fund management, private fund management, securities dealing or securities underwriting
incurring higher expenditure concerning preparation for the pre-opening of Excellence Center in Early 2018. In addition, in 2017 the Company has benefited from its efficient excess liquidity management
management Ο private fund management Ο other, (please specify)…………….. 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office
fund management Ο private fund management Ο other, (please specify)…………….. (Translation) 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office