of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3. Maintenance of

granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for renewal of

for investor contacts shall be granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC

(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work

investment units, debt securities, equities, derivatives and provident funds. Instead of doing the suitability test prior to every investment in new products, investors can do one set of the test for

th quarterly financial statements prior to submitting audited              annual financial statements   - The review of 1 st , 2 nd **, 3 rd and 4t h quarterly financial statement shall be submitted

Dissemination of Information Relating to Securities Offering Prior to the Effectiveness of Registration Statement and Draft Prospectus (No. 2)