(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Analyst on Technical Factors No. Work Experience/ Relevant Knowledge Qualifications Work Experience Related to
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(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related
(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1
(UNOFFICIAL TRANSLATION) Qualifications of Applicants for Approval of Investment Consultant on General Products No. Relevant Knowledge Qualifications List of Required Examinations1 (1) Fundamental
once a year: (1) conduct testing on the business continuity plan with members and involved persons; (2) have the results of the testing under subclause (1) evaluated by a person with required knowledge
understanding of their roles and building their readiness for discharging duties more efficiently and effectively. Additionally, the SEC reviewed the accuracy of financial reports of listed companies, supervised
comprising the chairman of the board, executive directors, and independent directors, who have knowledge of and experience in the capital market or knowledge and experience useful for the operation of the
out policy and supervised the SEC Office’s overall operation and implementation of the SEC Strategic Plan in line with the CMDMP and according to the set timeframe. In doing so, the SEC Board also gave
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision