held shares of the management company exceeding five percent of the total outstanding shares of the management company (2) Such person has held shares of the person under (1) exceeding thirty percent of
person in subparagraph (a) who holds a net claim against such derivatives business operator arising out of derivatives transaction, closing out of derivatives positions, or adjustment in outstanding
hold shares in an aggregate of more than thirty percent of the outstanding shares of such company; (5) Juristic person of which the fund supervisor or its directors, managers or persons with power of
brokerage, dealing or underwriting of investment units; (2) “Derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker under the law on derivatives
Commission No. KorThor. 66/2547 Re: Maintenance of Financial Positions of Person Licensed as Derivatives Agent dated 22 December 2004 as amended by the Notification of the Securities and Exchange Commission No
stipulated in the first paragraph so as to enable an inspection by the Office. Affiliated transaction of the fund under the first paragraph shall not include the transaction in which any related person
settling the assets with outstanding obligations to the following third parties: (a) a person related to the transactions of derivatives trading or securities trading of the client , in which case the
holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For
the total outstanding investment units; (4) a mutual fund of which the person under (1) or (2) holds investment units in an amount not exceeding fifty percent of the total outstanding investment units
shareholder or a partner of the juristic person which holds shares or partners in such juristic person, whether directly or indirectly, more than fifty percent of the outstanding shares or the total partnership