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
supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the
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
Company and the subsidiary operating the core business according to the details in Attachment 1 as well. 10.3 Company secretary and the person assigned with direct responsibility for accounting supervision
private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual
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
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
relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for
be in accordance with Chapter 3; (4) Supervision of Investment for Employees’ Assets shall be in accordance with Chapter 4. Chapter 1 Excessive Transactions for Clients _______________ Clause 5 2 In