) Knowledge on Ethics of Investment Analyst 3 Passed the Certified Financial Planner (CFP) examination. not less than 2 years during the past 5 years prior to the application date 4 − ✓ ✓ Only examination on

(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Derivatives Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work

(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Securities Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3. Maintenance of

limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for renewal of

for investor contacts shall be granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC

(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Capital Market Investment Analyst on Fundamental Factors No. Work Experience/ Relevant Knowledge Qualifications Relevant Work

use auditor’s works and gain opportunity to share insights knowledge of audit market environment, global audit regulatory developments, and practical experiences of independent audit regulatory

investor contact and category B investor contact shall have education and/or work experience and knowledge on related businesses as well as rules and regulations with respect to investor contacts as