Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes ; (3) investment units of a mutual fund whose returns calculation is made in a complicated way (complex

fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its

assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the

.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of

duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office expects the

time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company

mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives

procedures assign responsibility for review of all reports, financial statements, and working papers to a reviewer who is senior to the preparer? If yes, please describe the policies and procedures If no, how

shall assign the capital market business personnel approved by the SEC Office under the Notification of the Capital Market Supervisory Board governing the Rules on Capital Market Business Personnel , who

Clause 15 The intermediary shall assign the capital market business personnel who have been approved by the SEC Office under the Notification of the Capital Market Supervisory Board concerning Rules on