investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind the protection

business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of investors based

employment; (6)9 when such persons who are personnel in the capital market business under Clause 9(1) or (3) based on the qualifications of ASEAN investment consultant or ASEAN investment analyst , are no

) based on the qualifications of ASEAN investment consultant or ASEAN investment analyst, are no longer registered or approved to perform duties as investment consultant or investment analyst by the

consideration loan applicants’ financial standing and risk levels based on their financial statements submitted to the Revenue Department for income tax filing as a significant factor for establishing loan limits

by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or

representation of the debt securities holders, as well as where the investors may obtain access to the contract. Indicate whether the issuer is required to make periodic disclosure such as disclose the evidence

short sale; (4) collect the information and evidence of each client in a separate folder which shall be updated on a regular basis; (5) review the client’s limit under (1) at least once a year or upon any

Notification and the Notification of the Capital Market Supervisory Board concerning Application and Approval for Offer for Sale of Structured Notes. Clause 6 Submission of documents or evidence to the SEC

necessary and expedient otherwise and a waiver has been granted by the SEC Office. Clause 7 The documents or evidence filed with the SEC Office as required by the provisions under this Notification, both