fund” means any open-end fund and closed-end fund; “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Connected person
4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. Clause 5 In the case where the license of an association related to
4 Any association related to securities business shall not open a branch office unless granted an approval by the SEC Office. 2 Clause 5 In the case where the license of an association related to
requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face
management to open such accounts or establishing new business relationships. (Unofficial Translation) - 5 - Clause 13. Securities company may rely on another financial institution to conduct face-to-face
controls prior to requesting for approval from senior management to open such accounts or establishing new business relationships. (Unofficial Translation) - 5 - Clause 13. Securities company may rely on
discounts To increase sales volume and bring new products to open more markets Thus increasing the revenue from sales and services of the company this year Details are as follows Incomes Jan – Dec 2018 Jan