orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
for sale of investment units to increase registered capital of a mutual fund, the particulars and information required in paragraph one shall be up-to-date, and the prospectus shall also include the
of Listed Companies Concerning the Acquisition and Disposition of Assets, 2004 (collectively, the “Notifications on Acquisition or Disposal”) The maximum transaction value calculated based on
been given an order to rectify its impaired financial condition by way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial
way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial institution; (14) Performing work in a dishonest manner; (15) Intentionally
and expanding capacity to support possible increase in trading volume in the future, provided that the rules and guidelines for prioritizing and matching trading orders are disclosed; (2) procure an
units of the new mutual fund or the mutual fund which accepts the transfer of assets. Clause 3. All notifications of the Office of the Securities and Exchange Commission, orders and circular letters
report shall be made every thirty days until the proceeding to the solution is deemed final, unless otherwise specified by the SEC Office. Clause 5 Any Notifications of the Office of the Securities and