Guideline 1. Information management · Determining the level of secret, compliance guideline for keeping the category of the level of secret and compliance guideline for controlling access the information in

for the shareholders, and that of the subsidiaries for the Company. 8. Management structure 8.1 Board of directors Identify the directors and the controlling persons (if any), and specify clearly if any

same controlling person is considered the shareholding of the same group: (a) top 10 shareholders with the highest shareholding; (b) the major shareholders whose behaviors materially influence management

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

. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the

director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also

for transactions, requirement to obtain approval from or report to senior management, face-to-face contact with the client or his ultimate beneficial owners or ultimate controlling persons, assessment

management Ο private fund management Ο other, (please specify)…………….. 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office

. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September

needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause