conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the mutual fund management company, the designated employee must hold a position which will not cause
conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the mutual fund management company, the designated employee must hold a position which will not cause
comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc. 2. Proportion of IPO shares being allocated Sponsors: not more
that the following information has also been disclosed in the notice calling the shareholders' meeting. Not being a director who is appointed as the representative of directors of the issuer, major
fee rate 2.4 Proxy voting at shareholders' meetings on clients' behalf Types of Funds Proxy Voting Assigned Not assigned Private Funds The private fund management company to exercise the
fee rate 2.4 Proxy voting at shareholders' meetings on clients' behalf Types of Funds Proxy Voting Assigned Not assigned Private Funds The private fund management company to exercise the
Fining All the five administered laws stipulate that certain offences could be settled by a criminal fine.The Criminal Fining Committee appointed by virtue of such laws determines the fine. After the
juristic person with the SEC Office and managing fund of the juristic person so established, in which case the juristic person's personnel may be appointed to participate in management of enterprise in which
' directors or executives (except for offering by foreign governments). 4. The issuers shall not fail to file the financial statements or related reports to the SEC/ SET. 5. A representative is appointed in
Qualification of CFO and Chief Accountant The person assigned to the highest responsibility in Accounting and Finance (“CFO") and the person assigned to the direct responsibility of supervising