custody, whether in its own premise or other person’s, such premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets

premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets belong to the client. 5 As added by the notification of the

information, or give false information to counter trader. Clause 12. Securities company shall not purchase or sell any securities by using inside information which is likely to have an advantage against third

not purchase or sell any securities by using inside information which is likely to have an advantage against third person. And shall not disclose inside information for any personal gain. Clause 13

Re: Rules, Conditions and Procedures for Dealing of Debt Securities (No. 11) dated 25 October 2006. (Translation) -5- Clause 12. Securities company shall not purchase or sell any securities by using

customers’ consent. Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest, take into account and

specified in the notification of the Office shall be subject to customers’ consent. (Translation) 5 Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using

subject to customers’ consent. (Translation) 5 Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest

of interest and other encumbrance. Where there is a disclosure of the investment portfolio, it should be disclosed to all investor equally; (3) Using of adequate and reliable information, documents or

risk, fees or expenses, conflict of interest and other encumbrance. Where there is a disclosure of the investment portfolio, it should be disclosed to all investor equally; (3) Using of adequate and