revenue. Selling expenses contain personnel related expenses, travelling, entertainment and office supplies, etc. Major portion of selling expenses is personnel related expenses which are mostly for salary
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy
applicant under Clause 6 shall not have prohibited characteristics as prescribed in the Notification of the Securities and Exchange Commission concerning prohibited characteristics of personnel in securities
characteristics of personnel in securities business. Clause 9. In maintaining the status of being listed in the register of person qualified to be fund manager, a person shall: (1) Attend a refresher course
prescribed in the Notification of the Capital Market Supervisory Board governing prohibited characteristics of personnel in securities business. Clause 10. The approval to be listed in the register of person
governing prohibited characteristics of personnel in securities business. Clause 10. The approval to be listed in the register of person qualified to be fund manager is given for two-year period, the first
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units