submit the financial statements for Q3/2017 within the specified period. The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly
shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market Supervisory Board including any regulations or guidelines
regard, SEC has reviewed regulations on the operation of investment management business as prescribed in two notifications by applying the guidelines of the Regulatory Guillotine scheme to ensure
trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique
guidelines. The rules or practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets ; (2) keeping of records of clients’ assets ; (3
practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets; (2) keeping of records of clients’ assets; (3) management of information
activities of funds; (4) the administration and management of funds in any matter other than (3). Clause 3 In addition to this Notification, a management company shall comply with other notifications which
management company shall comply with other notifications which specify rules related to funds in the following matters: (1) the details of the fund project; (2) the stipulation of the commitment between the