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
standards of conduct: (1) perform duties with integrity and honesty; (2) perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best
accordance with the following standards of conduct: (1) perform duties with integrity and honesty; (2) perform duties by using knowledge and expertise as professional and treat all investors with fairness