provided in Clause 6; (b) investing in the investment units under paragraph 1(8)(a). (9) units of collective investment scheme having characteristics similar to the assets under Paragraph 1(7) or (8). Where
have the same meaning as defined for the term in the Notification of the Capital Market Supervisory Board regarding Rules on Securities Offering through Crowdfunding. Clause 2 In the case where a group
meaning as defined for the term in the Notification of the Capital Market Supervisory Board regarding Rules on Securities Offering through Crowdfunding. Clause 2 In the case where a group of persons having
determination. 7. Where not all of the debt securities being offered are guaranteed, provide a statement for a non-guaranteed portion. B. Covenants Relating to the Issuance of the Debt Securities 1 “senior
notification of the Capital Market Supervisory Board concerning prohibited characteristics of major shareholders of derivatives business operator, and in the case where such major shareholder is a legal entity
.: _____________________________ Fax No.: _________________________ 21) Details of where and how unit prices will be published: _______________________________________________________________________
, the Office shall have power to proceed as follows: (1) In cases where a company or an offer for sale of warrants and underlying shares has characteristics or meets criteria or conditions to obtain an
Office. In the case where the investment advisory company intends to appoint an investment advisory agent, it shall make an appointment contract in writing. The appointment contract shall determine the