underwriting in accordance with the procedures indicated in a prospectus. Clause 5. A securities underwriter shall not subscribe for securities of which it makes underwriting. 4 Clause 6. Subject to Clause 8, a
for securities of which it makes underwriting. 4 Clause 6. Subject to Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a
that the licensee has comply with the prescribed conditions. Clause 143 Subject to Clause 15, Clause 16 and Clause 17, the fees for application and issuance of license for undertaking derivatives
Supervisory Board.9 In cases where the licensee fails to comply with the conditions specified under the first paragraph, the Minister with the SEC’s recommendation may revoke such license. Clause 17 Subject to
made in this material are forward-looking statements with the relevant assumptions, which are subject to various risks and uncertainties. These include statements with respect to our corporate plans
ongoing operations . Disclaimer Some statements made in this material are forward-looking statements with the relevant assumptions, which are subject to various risks and uncertainties. These include
various securities businesses which shall be subject to only one notification specifying rules of approval for investor contacts and standards of conduct. By virtue of: (1) Clause 10 of the Notification of
it makes underwriting. Clause 6 Subject to Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a