characteristics in Group 3 under Clause 31, [ii] provide opinions to the SEC Office in any matter relating to compliance with the provisions under this Chapter or [iii] announce a guideline and give instruction for

-risk or complex characteristics which could be categorized as follows: (a) complex instrument investment consultant type 1 is able to provide consultation on all classes of capital market product having

foreign entity, its directors or executives fails to give a clarification or make correction within the specified period, the SEC Office may revoke the approval under (2); and (2) revoke the approval for

the approved entity or its directors or executives fails to give clarification or make correction within the specified period, the SEC Office may revoke the approval under (2); and (2) revoke the

give an opinion on the asset acquisition and the connected transaction and submit the opinion to the shareholders of the Company; (c) To convene the Board of Directors’ Meeting in order to consider and

not be entitled to receive such dividend from the shares of the Offeree. In order to prevent complications or errors arising from the determination of right to receive such dividend, and to provide

issuing certificate of entitlement shall contain at least the following matters: (1) the trustee has the duty to provide the register of units either by the trustee itself or by assigning other persons to

order to specifically plan and provide investment consultation on capital market product in line with the risk tolerence and the investment objective of each client. “investment analyst” means a person

provide personnel approved by the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business to give advice

this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer