for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst
person responsible for risk management who is independent from the operator shall be assigned; (2) The calculation of fair value of instruments and the examination of the management on compliance with the
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
) examination, or the Certified Financial Planner (CFP) program. − ✓ Except those having passed CISA Level 1 or higher. − Only those having passed CFP current curriculum2 must attend a derivatives training course
years during the past 5 years prior to the application date. ✓ ✓ 2 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or Chartered Financial Analyst (CFA) examination, or
Chartered Financial Analyst (CFA) examination, or Certified Financial Planner (CFP) program. Local or foreign organization for a total period of at least 1 year during the past 3 years prior to the
this case, an additional examination on related rules is required. 2 Limited to one person per one securities company only. (UNOFFICIAL TRANSLATION) No. Relevant Knowledge Qualifications List of Required
(CISA) or Chartered Financial Analyst (CFA) examination, or Certified Financial Planner (CFP) program. Local or foreign organization for a total period of at least 1 year during the past 3 years prior to
the SEC’s examination, is considered an offense of making false entries or omitting material statements in the accounts or documents of, or related to, a juristic person. This constitutes a violation