, trader codes/details of the business entities whose financial statements for the latest period have been signed by an auditor in giving opinion or whose working paper has been reviewed by the SEC Office
, trader codes/details of the business entities whose financial statements for the latest financial period have been signed by an auditor in giving opinions or whose working paper has been reviewed by the
management company shall comply with the following rules: (1) a person to be appointed shall be a person whose name is on the register of persons qualified to be fund manager. In this regard, the management
person who appraises the assets shall have any of the following characteristics: (1) being a financial advisor or an asset appraisal firm in the capital market whose name is on the approval list of the SEC
, or employee of another company and not being a derivatives investment manager for another person whose business is of similar nature or competitive with the investment management company’s business
an offer for sale of securities or an issuer of underlying shares of underwritten securities, including a person holding a position whose authority is similar to such person; (6) “offering closing date
of securities or an issuer of underlying shares of underwritten securities, including a person holding a position whose authority is similar to such person; (6) “offering closing date” means the day on
customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept until the handling of
, should there be any customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept