financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
the AIFs established in Europe or/and; 4. being the master fund in which an AIF in Europe invests at least 85 % of its assets in units or shares(Note: AIFMD is not applicable to the case that a fund
Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the
subsidiary company, in this regard, the Company hereby informs you that on 16 November 2018, The Company had established the subsidiary company in accordance with resolution of the Board of Directors Meeting
and securities businesses; 1.2 determining shareholding proportion of the finance and securities company’s shareholders in the newly established limited or public limited company, during the
Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work