for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such
supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the securities company within thirty days as
management and supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker within
application for approval to the Office together with the following document evidence: (1) scope of services provided during the hours and days applied for. (2) monitoring and supervision plan to be use during
not making reasonable sell of the assets of open-end fund or in case of necessity to maintain the best benefit of unitholders. Management company shall sell assets or terminate the contract, which is a
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
major shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance and support as well as strategic positioning of the Company or its group of companies in
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an