considering the application for approval of the establishment of the fund. Division 3 Power of the SEC Office Related to the Approval _______________ Clause 19 The fund to be approved shall be in accordance

customer; (7) information on the purchase, sale or holding shares or share warrants of the investment advisory company, person with power of management or advisor in the case where the purchase, sale or

; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices

; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices

Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material

, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who

In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of

defined in the Code of Ethics for Professional Accountants which refers to businesses affiliated to Audit Firm that (a) have the intention to cooperate and (b) have a clear objective to share profits and

controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger

........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on