, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

perform duties or provide services with honesty and good faith. Specifically, (1) he requested and used client’s mutual fund trading account to conduct investment transactions in mutual funds under the

investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has

perform duties or provide services with loyalty by committing wrongdoing against investor assets. Both cases constitute prohibited characteristics for personnel in the capital market business under the

Offeror : UNITED OVERSEAS BANK LIMITED | Date of submission of the Statement of Intention : 09/08/2004

Offeror : UNITED OVERSEAS BANK LIMITED | Date of submission of the Statement of Intention : 22/05/2006

Offeror : MC BAKERY CO., LTD. | Date of submission of the Statement of Intention : 13/05/2009

Offeror : MC BAKERY CO., LTD. | Date of submission of the Statement of Intention : 25/05/2009

Offeror : MC BAKERY CO., LTD. | Date of submission of the Statement of Intention : 07/09/2010

Offeror : MC BAKERY CO., LTD. | Date of submission of the Statement of Intention : 17/09/2010