same persons holding more than ten percent of the outstanding shares of the fund supervisor and the management company who manages the mutual fund under its supervision unless such shareholder is the
agricultural goods, which applies to the undertaking of business as: (1) a derivatives broker; (2) a derivatives dealer; (3) a derivatives advisor; (4) a derivatives fund manager. “ major shareholder ” means a
by the Office of the Securities and Exchange Commission (if any); □ has operated its business for more than 3 years; □ has operated its business for less than 3 years. Shareholder of an applicant who
performance supervision, internal audit, or risk management; (5) being able to show that person who is major shareholder does not have any prohibited characteristics under Paragraph 2 of Section 25 and the
relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for
regulations2. 1.4 Relationship with the business group of major shareholders3 In the case where the Company or its group of companies is part of a conglomerate or a business group of a major shareholder, and by
assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and coordination in case of a foreign company Attachment 2: Details of the
an investment advisory company; (2) a company of which an investment advisory company holds shares of twenty percent or more of all voting right share; (3) a company having a shareholder who holds
for Operational Supervision of Securities Underwriting dated 25 October 2006; (3) The second paragraph of Clause 2 of the Notification of the Securities and Exchange Commission No. KorThor. 5/2539 Re
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an