ethics and professional standards of conduct. In the case where the performance of duty involves non-public information, operational rules for the prevention of the disclosure of confidential information
must perform their duties in accordance with the law and relevant rules and regulations including code of ethics and professional standards of conduct. In the case where the performance of duty involves
together with supplementary documents as specified in the notification of the SEC. Clause 13 In applying for license, the application shall be filed in the following periods: (1) in case of the applicant
as the Right Offering price, save for the case that such allocation is unavailable because the remaining shares are fraction of shares or that there is no shareholders expressing the intention to
for an offer for sale of newly issued underlying shares upon compliance with Chapter 1 or Chapter 3, as the case may be; (4) An offer for sale of newly issued warrants to existing shareholders according
company shall appoint only one person from such register to be Fund Manager according to rules under Clause 8, or Clause 17 the first paragraph (3); (2) in case the management company appoints its employee
value of assets acquired compared with the value of assets of the listed company or of the listed company and its subsidiaries collectively, as the case may be. The size of the transaction is equal to
the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is