Notification of the Capital Market Supervisory Board concerning Rules on Personnel in Capital Market Business, to perform duty as a branch manager or responsible person for operating a branch office by complying
performance of personnel in the capital market. These initiatives fall under the Strong Securities Issuers Project and focus on preventing, deterring and suppressing inappropriate behaviors and misconduct. A
Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the
Notification of the Capital Market Supervisory Board concerning Personnel in the Capital Market Business. Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and
intermidiary’s personnel who perform such functions and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary
and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel
personnel in the capital market businesses (natural persons)/verify the qualifications and prohibited characteristics/data from report forms. • Executives, directors/managers of securities companies, for
function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business ; “ client ” means user