information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be prepared in writing with an approval from the company’s board of directors
the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
” shall have the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company
and collect fees or service charges in accordance with the rules, conditions and procedures as specified by the board of directors of the Securities Exchange. In operating the business of securities
management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to
securities; 2. director and employee of issuing company or subsidiary of issuing company as approved by the board of directors or the resolution of the shareholders’ meeting of issuing company; 3. creditor of
definitions in notifications relating to issuance and offer for sale of securities; 2. a director and an employee of a securities issuer or its subsidiary company as approved by the board of directors or
knowledge and understanding of the general law governing professional practices. Directors, managers and persons with power of management who are responsible for the work unit relating to the functioning as
: Certification of Information 37 Attachments: Attachment 1: Details of directors, executives, controlling persons, the person assigned to take the highest responsibility in Accounting and Finance, the person