the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information

supervision, implementation and enforcement among different authorities is clearly defined so that the competencies of complementary bodies and agencies are respected and used most effectively. Potentially

their shares and some have issued voting policies and disclose their voting, as required by SEC regulations for asset managers. They occasionally vote against management. Companies produce complete

(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Consultant on Complex Products Type 1 No. Relevant Knowledge Qualifications List of Required Examinations1 (1

Investment Analysis on Technical Factors List of Required Examinations1 (1) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on Securities2and Derivatives (4) Knowledge

Experience1 List of Required Examinations2 Investment Analysis on Securities3 Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst (CISA) or

Pursuant to Section 6(3) and Section 8(1) of the Royal Decree No. 750 issued by the Revenue Department, any VC or PE Trust wishing to receive revenue tax exemption is required to notify its VC or PE

Experience1 List of Required Examinations2 Investment Analysis on Securities3 and Derivatives Related Rules on Investment Analysis 1 Passed Level 1 or higher of the Certified Investment and Securities Analyst

(UNOFFICIAL TRANSALTION) Qualifications of Applicants for Approval of Investment Planner No. Relevant Knowledge Qualifications List of Required Examination 1 (1) Fundamental Knowledge (2) Related

proposed regulations can be summarized as follows:  1. Disclosure and submission of PVD Factsheet  1.1 In case of adding a new investment policy to the existing PVD, the AMC would be required to disclose