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
: Rules, Conditions and Procedures 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
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
juristic person or business in which the person has power of management or the operators under his supervision from any act or omission of act which violates or is in contrary to the law governing securities
(Unofficial Translation) 1 Licensing Manual: Application for Approval of Foreign Auditor (In Case of being under supervision of internationally-recognized regulator) Authority: the Office of the
securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries
of derivatives exchange to be in consistent with cost in connection with supervision on such business borne by the SEC Office.
who manages the mutual fund under its supervision more than five percent of the outstanding shares, including shares held by connected persons of such fund supervisor; (3) Do not have the same persons