hasbasic understanding of general laws related to the profession. The qualifications will be considered from the personnel’s: □(2.1) First name, last name, and education; □(2.2) Work experiences, given with

audit firm, hereby certify and consent to the followings: 1. I certify that the audit firm has audit quality control system which is sufficient and reliable for supervising its auditors’ work to comply

control system which is sufficient and reliable for supervising its auditors’ work to comply with the professional standards on a continuous basis. Such audit quality control system complies with

in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal

that the operation of the securities company follows laws on securities and exchange and notifications issued by virtue of such laws. In performing duty in supervising the securities company under the

Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a

imposed by the State or an authorized agency in supervising derivatives trading. O yes (please specify in detail) O no 2.4 Please summarize the rules which the State or an authorized derivatives supervision

mutual funds’ assets; (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested

anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry

which objectives is for promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “ financial institution ” means