main office of the securities underwriter for the period of at least one year from the offering closing date in such a manner that can be promptly presented to the Office upon request. The fair
one year from the offering closing date in such a manner that can be promptly presented to the Office upon request. The fair allocation under the first paragraph shall not include allocation of shares
. In this regard, the Office may request for an explanation or clarification of such reports or documents. Clause 11/3. In the case where the investment advisory company violates or fails to comply with
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
investor. The management company must request the investor to provide such information for consideration. The provisions in paragraph one hereof shall not apply to the management of a private fund, of which
business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of investors based
Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform
dated 3 August 2004. The Office of the Securities and Exchange Commission hereby issues the following regulations. Clause 1. This Notification shall come into force as from 16 March 2007. Clause 2. In
documents. In this regard, all documents and information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD
office of the securities underwriter for the period of at least one year from the offering closing date in such a manner that can be promptly presented to the SEC Office upon request. The fair allocation