operation, an intermediary is obligated to the principles as prescribed in the Notification of the Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives
intermediary is obligated to the principles as prescribed in the Notification of the Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses. In order
, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office starts its
five years prior to the date the branch office starts its operation; (4) not being ordered by the Securities and Exchange Commission, the administrative panel or the Office to suspend or restrict its
submitted not less than fourteen days prior to the appointment date; (2) report on termination of appointment of fund managers which shall be submitted within fourteen days as from the termination date. The
days prior to the appointment date; (2) report on termination of appointment of fund managers which shall be submitted within fourteen days as from the termination date. The management company shall
apply for approval of major shareholder; (6)7 in cases where the applicant is a company having operated other businesses prior to the date of filing an application under Clause 7(5) or Clause 8(5), it
from voting. 8. Opinion of Board of Directors regarding related party transaction The Company’s Board of Directors and Audit Committed have agreed that related party transaction between Carnival Magic