Covered Fund for the SEC’s consideration under a normal track. An application for establishment of fund via ‘auto approval’ track is not permitted. 5 2.2 Offering for sale and investment restrictions of a
newly established company other than companies under (4) for the purpose of applying for derivatives business license type Sor-1 . (10)3 a person who had been permitted to undertake derivatives business
the purpose of applying for derivatives business license type Sor-1. (10)3 a person who had been permitted to undertake derivatives business in the category of derivatives brokerage under the
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
amendment of the authorized signatories of the Company; and (7) receive consent or waiver from the Company’s creditors for the Allocation and Offering of the Newly Issued Ordinary Shares of the Company under
Company; and (7) receive consent or waiver from the Company’s creditors for the Allocation and Offering of the Newly Issued Ordinary Shares of the Company under the Debt to Equity Conversion Scheme in 2.1
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for