Legal Information

Legal Framework and Regulatory Compliance

Libratum Investment operates within a comprehensive legal framework that ensures full compliance with all applicable securities laws, regulations, and industry standards. Our legal structure is designed to provide maximum protection for our clients while maintaining the highest standards of transparency and accountability in all our business operations.

As a registered investment management firm, we are subject to extensive regulatory oversight by multiple authorities, including the Financial Services Commission of Korea, the Korea Financial Investment Association, and other relevant regulatory bodies. Our compliance program is continuously updated to reflect changes in regulatory requirements and industry best practices, ensuring that we maintain the highest standards of legal and ethical conduct in all our activities.

Regulatory Registration and Licensing

Libratum Investment is duly registered and licensed to provide investment management services in accordance with the Financial Investment Services and Capital Markets Act of Korea. Our registration includes comprehensive coverage for portfolio management, investment advisory services, and related financial services activities. We maintain all necessary licenses and registrations required to operate in our target markets and jurisdictions.

Our regulatory status is regularly reviewed and updated to ensure continued compliance with evolving regulatory requirements. We work closely with regulatory authorities to maintain our licenses and registrations, and we provide regular reports and disclosures as required by applicable laws and regulations. Our legal team maintains detailed records of all regulatory interactions and ensures that we remain current with all filing and reporting requirements.

Client Agreements and Documentation

All client relationships are governed by comprehensive legal agreements that clearly define the terms and conditions of our services, including investment objectives, risk parameters, fee structures, and other important terms. Our client agreements are drafted in accordance with applicable laws and regulations and are designed to provide maximum clarity and protection for all parties involved.

We maintain detailed documentation for all client interactions, including investment decisions, portfolio changes, and performance reporting. Our documentation practices ensure that we can provide complete transparency regarding our activities and maintain detailed records for regulatory and audit purposes. All client information is maintained in accordance with applicable privacy laws and data protection regulations.

Risk Management and Legal Compliance

Our legal compliance framework includes comprehensive risk management protocols that address various types of legal and regulatory risks. We maintain detailed policies and procedures for identifying, assessing, and mitigating legal risks, including compliance monitoring, training programs, and regular audits of our business practices.

Our legal team works closely with our investment professionals to ensure that all investment activities are conducted in accordance with applicable laws and regulations. We maintain detailed records of all legal reviews and approvals, and we provide regular training to all employees on legal and regulatory requirements relevant to their roles and responsibilities.

Intellectual Property and Confidentiality

We maintain strict confidentiality regarding all client information and proprietary investment strategies. Our confidentiality agreements and policies ensure that sensitive information is protected and that all employees and service providers are bound by appropriate confidentiality obligations. We also maintain comprehensive intellectual property protection for our proprietary investment methodologies and research.

Our legal framework includes detailed provisions for protecting confidential information, including client data, investment strategies, and proprietary research. We maintain strict access controls and monitoring systems to ensure that confidential information is only accessed by authorized personnel and is used only for legitimate business purposes.

Dispute Resolution and Legal Remedies

In the event of disputes or legal issues, we maintain comprehensive procedures for resolution that prioritize client interests and maintain the highest standards of legal and ethical conduct. Our dispute resolution procedures include internal review processes, external mediation, and arbitration as appropriate, all designed to provide fair and efficient resolution of any issues that may arise.

We maintain professional liability insurance and other appropriate coverage to protect against potential legal claims and to ensure that we can fulfill our obligations to clients in all circumstances. Our legal team works closely with external counsel and insurance providers to ensure that we maintain appropriate coverage and that we are prepared to address any legal issues that may arise.

Disclaimer

Information in this communication is provided to you solely for your exclusive use and is not for public dissemination. The sole purpose of this communication is to offer relevant information in relation to Libratum Investment, its subsidiaries and other affiliates (collectively, the "Group"). You are aware of the confidentiality obligation and undertake not to disseminate to other parties or for any other purposes. You must read the terms, conditions, limitations, notifications, restrictions, acknowledgments and representations in the following (collectively, the "Terms"). In accepting the delivery of this communication, you acknowledge and agree to be bound by the Terms, and you agree to maintain absolute confidentiality regarding the information disclosed in this communication in a manner consistent with the Terms. If you do not accept any of the Terms, in whole or in part, please immediately destroy all electronic and paper copies and notify the sender. This communication, and any further information made available to you in relation to the Group, are highly confidential and are being given solely for your information and for your exclusive use. This communication, and any further information made available to you, form part of the proprietary information of the Group and neither this communication nor its contents may be distributed, published, reproduced, passed on or disclosed, directly or indirectly, to any other person (whether within or outside your organization/firm) in any manner, in whole or in part, or used for any other purpose, without the prior written consents of Libratum Investment. Upon request of Libratum Investment or its authorized representatives, the recipient shall promptly destroy this communication and all information made available in connection with this communication, without retaining any copies.

This communication has not been independently verified and has not been reviewed by any regulatory authority in any jurisdiction. This communication does not purport to provide a complete description of the matters to which it relates. No representation, warranty or undertaking, express or implied, is or will be made or given by, and no responsibility or liability is or will be accepted by, any person (for the avoidance of doubt, including but not limited to, Libratum Investment and its affiliates, controlling persons, directors, officers, partners, employees, agents, representatives or advisors), with respect to the accuracy, reliability, correctness, fairness or completeness of this communication or its contents or any oral or written communication in connection with this communication. In addition, any information included herein is not and does not purport to be appraisals of the assets, stock or business of the Group. Even when this communication contains a form similar to appraisal, it should be considered as preliminary, suitable only for the purpose described herein, subject to assumptions and not be disclosed or otherwise used without the prior written consents of Libratum Investment. The information in this communication does not take into account the effects of a possible transaction or certain transactions involving an actual or potential change of control, which may have significant valuation and other effects. Nothing contained in this communication is, or shall be, relied upon as a promise or representation as to the future or as a representation or warranty otherwise. Nothing in this communication constitutes or forms part of, or should be construed as constituting or forming part of, any regulatory, valuation, legal, tax, accounting, investment, or other advice. Nothing in this communication constitutes or forms part of, or should be construed as constituting or forming part of, any recommendation, solicitation, offer or commitment to purchase, sell, subscribe for or underwrite any securities of Libratum Investment by any party, or to extend any credit or provide any insurance to you or to enter into any transaction, nor shall there be any sale of securities or other transaction in any jurisdiction in which such sale or transaction would be unlawful prior to registration or qualification under the securities laws of any such jurisdiction.

Unless otherwise agreed in writing, any third party from whom you receive this communication is not acting as your financial advisor or fiduciary. Before you enter into any transaction, you should ensure that you fully understand the potential risks and rewards of that transaction and you should consult with such advisors as you deem necessary to assist you in making these determinations, including but not limited to, your accountants, investment advisors and legal and/or tax experts. None of Libratum Investment, its subsidiaries and other affiliates, or its controlling persons, directors, officers, partners, employees, agents, representatives or advisors shall have any liability (in negligence or otherwise) in respect of the use of, or reliance upon, the information contained herein by you or any person to whom the information herein is disclosed. None of Libratum Investment, its subsidiaries and other affiliates, or its controlling persons, directors, officers, partners, employees, agents, representatives or advisors shall have any responsibility or liability whatsoever (for negligence or otherwise) for any loss howsoever arising from any use of this communication or its contents or otherwise arising in connection with this communication.

The contents of this communication are subject to corrections or changes at any time without further notice. The information contained in these materials also contains certain forward-looking statements, which are based on various assumptions and subject to risks and uncertainties. These statements typically contain words such as "will", "may", "expects", "forecasts", "plans" and "anticipates" and words of similar import. In light of these assumptions, risks, and uncertainties, the future facts, events and circumstances described in these materials may not occur and actual results could differ materially and adversely from those anticipated or implied in the forward-looking statements. The forward-looking statements are not a guarantee of future performance. Each of Libratum Investment, its subsidiaries and other affiliates, and its controlling persons, directors, officers, partners, employees, agents, representatives or advisors assumes no obligation to (1) provide access to any additional information, (2) correct any inaccuracies in this communication, or (3) update or otherwise revise this communication, for any reason whatsoever, including without limitation to reflect new information, events or circumstances that arise, occur or become known after the date of this communication.

No information set out in this communication will form the basis of or be relied upon in connection with any contract, commitment or investment decision. This communication does not constitute or form part of and should not be construed as an offer or invitation for the sale or purchase of any securities. In particular, this communication and the information contained herein are not an offer of the securities of Libratum Investment for sale in the United States. The distribution of this communication may be restricted by law, and persons into whose possession this communication comes should inform themselves about, and observe, any such restrictions. Any failure to comply with these restrictions may constitute a violation of applicable laws.