rating mutual fund, the investment advisory company shall comply with the rule as follows: (1) using the information supporting mutual fund rating gathered from the reliable and referable source; (2
of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must
economic crisis, disaster or any other severe events widely affecting economic condition, the Minister may approve the employees or employers being unable to pay savings or contributions into the fund to
more than the period of approval; (3) in case the demeanor, being within the scope of prohibited characteristics in Group 3 under Clause 31, is not severe or has occurred for more than 10 years up to the
characteristics in Group 3 under Clause 31, is not severe or has occurred for more than 10 years up to the date when such fact appeared to the SEC Office, the SEC Office [i] may not consider such case as a ground
risk, corruption risk, severe epidemic risk, etc.; 2.2.2 Investment risk imposed on the securities holders. Identify and clarify the risks of losing returns or rights or investment money, in whole or in