investment advice and providing service relating to trading investment units, mutatis mutandis, unless there is any provision in this Notification especially. Clause 7 Prior to accepting to be an agent for
neither undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory
loss of damages arising from or related to its use. ------------------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange
capital requirements are also stipulated in the proposed amendments.SEC is now seeking public comments on the revised draft notification on the maintenance of capital which has been refined in certain
of the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business*. The SEC has therefore imposed a six-month suspension on {A}, effective from 12
this English translation is strictly for reference. Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers
reference. Notification of the Securities and Exchange Commission No. Kor Thor. 66/2547 Re: Maintenance of Financial Position of Licensed Derivative Brokers __________________ By virtue of Section 9 and
prior to this notification become effective, and having the details in mutual fund management scheme contrary to or inconsistent with any provision in this (Translation) - 11 - notification or any terms
with any provision in this (Translation) - 11 - notification or any terms in the private fund agreement contrary to or inconsistent with any provision in this notification. Management company shall