(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Analyst on Technical Factors No. Work Experience/ Relevant Knowledge Qualifications Work Experience Related to

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(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental

knowledge-sharing sessions the SEC hosted for other stakeholders throughout the year. Some of these deficiencies and issues are common within the region and some are widespread beyond our region so to

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

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

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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