: Rules, Conditions and Procedures for the Approval of Mutual Fund Managers dated 31 July 2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a
/ converting an online branch office to a full branch office: 5.1 Name of branch manager: ........................................................... 5.2 Branch manager is also an investment consultant. Yes No
similar characteristics to person under (1) to (22); (24) fund manager whose name is registered as qualified fund manager under the Notification of the Office of the Securities and Exchange Commission
comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund manager on the renewal application date
at least half of the curriculum comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund
executive or mutual fund manager or private fund manager on the renewal application date in cases of investor contacts who have been approved on the basis of such status; 3.1 Being an investor contact
or a relationship in any aspect or any other circumstances. “executive” means a manager, deputy manager, assistant manager, department director, or any person who holds a position equivalent to any of
: Certification of Information Attachment details of director, executive, deputy manager, assistant manager, director of department, and persons holding equivalent position called by other names who responsible for
company or who is related to securities business as follows: (Translation) -2- (a) director, manager or any person who has power of management in a securities company; (b) fund manager; (c) property fund
capital market product having high-risk or complex characteristics; “general manager” means a person who is assigned by the board of directors to be the highest level responsible person in the management of