director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also
selling of precious metals or derivatives relating to precious metal ; (4) demonstrating that a director, a manager or an authorized management person who is responsible for undertaking derivatives business
experience relating to buying or selling of precious metals or derivatives relating to precious metal ; (4) demonstrating that a director, a manager or an authorized management person who is responsible for
/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds dated 10 June 2004; and (6) Clause 3(1) of the Notification of the Securities and Exchange Commission No. KorKhor. 42
of funds ; (3) the investment and income generating activities of funds ; (4) the administration and management of funds in any matter other than (3). Clause 3 In addition to this Notification, a
obtaining an approval from Board of director of the company. In this regard, management company shall report such matter to the Office within five working days from the date of sale of such assets or the
act as a director, manager or person with power of management of derivatives business operator must be approved by the SEC Office, the SEC Office hereby issues a guideline on application for approval
information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from
publicly about sale promotion in advance within appropriate period; (5) in case of sale promotion of offering for sale of investment units, a securities company licensed to undertake mutual fund management
management, designation, control, and supervision of policies of an applicant ; (b) duties concerning control, supervision, and administration of business units: investment consultation, investment planning