, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction

clients: (1) any person who is sixty years old or older; (2) any person with limited knowledge on finance or no investment experience; and (3) any person with limitations on communication or decision-making

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

an independent director. In case of the Audit Committee, identify the names of the members who have the knowledge and experience in auditing the Company’s financial statements and specify their

personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in

; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of

and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as specified in the

the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and