detailed in Chapter 4. 2 Part 3 The SEC Office’s Power Clause 4 In order for this Notification to be complied with, the SEC Office may specify regulations or guidelines, as follows: (1) establish rules in
reasonable grounds to believe that he or she neglects or has neglected reasonable examination in order for preventing the juristic person or business which he or she has power of management or the operator
of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of
Chapter 8; (8) handling of complaints, as detailed in Chapter 9; (9) retention of information and documents, as detailed in Chapter 10; Part 4 The SEC Office’s Power Clause 5 In order for this Notification
age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a training institute or having completed the courses that are approved by the Office; (4) Being
information and documents, as detailed in Chapter 11; (11) additional regulations for operation of specific business, as detailed in Chapter 12. 3 Part 4 The SEC Office’s Power Clause 5 In order for this
instruments and the examination of the management on compliance with the prescribed rules; (3) Proxy voting as a shareholder to protect the interest of the fund and to demonstrate the intention to promote good
; □ (2) Copy of the memorandum summarizing the examination and the letter notifying the result of the examination or the letter notifying the order issued by an organization which regulates the undertaking