) 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
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
the intermediary and the client in accordance with laws, relevant Notifications and procedure set by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication
) practicality between the intermediary and the client in accordance with laws, relevant Notifications and procedure set by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i
obtain access to the contract. Indicate whether the issuer is required to make periodic disclosure such as disclose the evidence periodically that the issuer is not in default or that it is in full