stipulated under the first paragraph, it shall be taken account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses
granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for
account of nature, scale, quantity, complexity and diversity of businesses and services, as well as acceptable level of risks relevant to such businesses and services. 2 In case where any material change is
first paragraph, the term of “ foreign collective investment scheme ” means a collective investment scheme established under foreign law provided that it has been granted approval, registered or
membership; (5) the provisions regarding the number of committee members, the election and appointment procedures, the term of office, the termination of office, and the meetings of the fund committee; (6) the
to the expiration of the approval term. Hours of participation will be accumulated as follows: Training or Seminar Lecturer Full-time Lecturer or Guest Lecturer Minimum hours of participation in the
such service provider operates business, the intermediary may use the assessment results of the supervisory standards on hedge funds (Principle 28) instead. For the purpose of this Clause: The term
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments
which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract; (b) a specified
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private