(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
Experience1 List of Required Examinations2 Investment Analysis on Securities3 and Derivatives Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst
”), whose works were found deficient by internal reviewers or the SEC, and they would additionally be required to submit written explanations, describing causes of their deficiencies and future corrective
proposed regulations can be summarized as follows: 1. Disclosure and submission of PVD Factsheet 1.1 In case of adding a new investment policy to the existing PVD, the AMC would be required to disclose
and Submission of PVD Factsheet, divided into two cases, i.e.: In case of adding a new investment policy to the existing PVD, the asset management company (AMC) is required to disclose the PVD
Experience1 List of Required Examinations2 Investment Analysis on Derivatives Related Rules on Investment Analysis 1 Obtained a bachelor’s degree. Local or foreign organization for a total period of at least 2
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental
submitted for an approval. The following qualifications will be considered: 1. Compliance with commitments required by the Ministry of Finance. 2. Offering of the bonds is legally made under the foreign laws
treatment of all shareholders. Company procedures should not make it unduly difficult or expensive to cast votes. 22 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 The right to participate in general