; 3. T he investment policy shall not be specified with the features of a feeder fund under the Notification on Investment; 4. The mutual fund shall not have the policy to invest in derivatives or

the following conducts of an intermediary or its related person: (1) making [financial] benefit at the expenses of a client ; (2) entering into transactions by exploiting information, relevant to its

conducts a transaction concerning digital assets with or through a digital asset business operator to give statement or deliver copies of or present accounts, documents or other evidence related to such

the businesses, operations, assets and liabilities of such person, or may order such person to deliver related computer data or computer data traffic; (7) order any person who conducts a transaction

management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to

not appear that the management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange

/ Economic Dependence VII. Threatened or Actual Litigation VIII. Gifts and Hospitality IX. Non Audit Services Particulars Reference / Guidance Notes Description A.1 General Policies and Procedures: 1 Whether

clients’ solicitor in a dispute or litigation? 8 Recruitment and Remuneration Services: If the firm conducts recruitment services? If so, what is the extent of their involvement – regarding selection and

shall comply with the following requirements: (1) the said article or research paper shall be prepared by a work unit that normally conducts research and it is the unit whose function is discretely

investment.  The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge