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Article 7-2
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Before personnel at the place of solicitation handle proxy solicitation matters, the proxy solicitor and the company mandated to handle solicitation matters shall report information on those personnel to the institution designated by the FSC. No person at the place of solicitation may handle solicitation matters until the report has been filed.
Any change in the personnel at the place of solicitation shall be handled as follows:
- For any change in personnel that occurs during the period from March to June of any year, the solicitor and the company mandated to handle solicitation matters shall report the change to the institution designated by the FSC within 5 days after the change occurs.
- For any changes in personnel that occur outside of the aforesaid period, the solicitor and the company mandated to handle solicitation matters shall compile and report all such changes to the institution designated by the FSC before the next time solicitation matters are conducted.
A solicitor or a company mandated to handle solicitation matters may not obtain proxies by means of proxy solicitations conducted by personnel who have not been reported pursuant to the preceding two paragraphs.
Before they may handle solicitation matters, the personnel at the place of solicitation under paragraph 1 shall comply with the provisions regarding professional competence testing as set out in the rules establishing standards for the internal control systems of shareholder services units prescribed by the institution designated by the FSC.
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