Collective Investment Scheme and Conditions after Approval __________________ Chapter 1 Procedure for Submission of Application __________________ 5 Clause 10 The applicant submitting an application for
the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the
Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and Exchange Commission hereby issues the
Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedure for the Establishment and Management of Funds dated 10 June 2004, the Office of the Securities and
consider, allocate, and offer for sale at one time or divided into partly offering as appropriate. Because the said capital increase procedure does not comply with the regulations of the SEC, therefore, the
before cancellation of the suspension thereof. While the revision and updating of client information under subclause (3) of the first paragraph is in process, the intermediary is allowed to provide
required to report violations or any significant abnormality to the person responsible for the information security incident management without delay; (3) put in place a disciplinary process to take action