Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of
Business 1. Details of the Business Part 3 Page 1 2. Business Plan after the Takeover Part 3 Page 9 Part 4 Additional Information of the Tender Offer 1. Tender Offer Acceptance Procedures Part 4 Page 1 2
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant to sign
& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate
, starting from December 22, 2015. On other cases, {B} was found accepting orders to trade securities in a client's account from a person who was not the owner of the account without any written authorization
from a person who was not the owner of the account without any written authorization, and causing a misunderstanding that there had been a conversation with, and acceptance of trading orders from, the
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By