(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
of the Securities and Exchange Commission No. SorNor. 1/2554 Re: Examination and Disclosure of List of Foreign ETF Units and Application for Investment Allotment for Units of Foreign ETF By virtue of
for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst
for a total period not less than three [3] years during a period of five [5] years prior to the application date. Unless such person having passed the Level 1 examination of Chartered Financial Analyst
qualifications and work experiences: (a) having passed the Level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent examinations
submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial Analyst (CFA) or Certified Investment and
standards within two years prior to the date of submission of the application. (b) Possessing qualifications and work experiences as follows: 1. Having passed the level 1 examination of Chartered Financial
) examination, or the Certified Financial Planner (CFP) program. − ✓ Except those having passed CISA Level 1 or higher. − Only those having passed CFP current curriculum2 must attend a derivatives training course
agreements made between the management company and the fund committee 1.2.3 Payment to the member upon termination of membership (1) Examination of information for payment Page 18 of 32 (Unofficial Translation
technology systems in the following matters: (1) business continuity management, as detailed in Part 1; (2) review, monitoring, and examination of computer systems relating to trading services with respect to