on dispute resolution by an arbitrator on the SEC Office’s list shall come into force as from 1 January 2016; (2) Clause 17, which relates to arrangement of agreement with clients on provision of
; (2) the determination of fees for application for an approval, application for obtaining a license, a license, or for operating the business as licensed; (3) the issuance of rules relating to the
Pursuant to the Notification concerning Determination of Fees for Filing of Registration Statement, Registration and Other Applications, as amended, the calculation of fees shall be based on the
and loyalty for the interest of the unitholders including acting in compliance with the law, the fund project, the commitment between the unitholders and the management company and the resolution of the
prevention of conflicts of interest between the management company and the unitholders; (7) the money borrowing or creation of encumbrances on a fund ’s assets; (8) the liquidation of a fund . In the case
depositary receipts. 2 “institutional investors” shall have meaning in pursuant to the Notification of the Securities and Exchange Commission concerning Determination of Definitions in Notifications relating
of content and form of presentation in order that a client would be able to receive necessary and useful information for using the intermediary ’s service or for making a decision of investment in
investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High Net Worth Investor and High Net Worth Investor. “ultra-high