application, unless an exemption is granted by the SEC Office on the ground that the offering is necessary, reasonable and adequate measures for the offering for sale have been adopted; (7) there are no grounds
such assets received from or processed for the member can be clearly identified without any doubt; (4) report the custody of said assets to the relevant member within reasonable time. The derivatives
considered reasonable to the Company’s status. due to the company Is in the process of resume trade. Therefore, there is uncertainty in the trading period. As a result, the Company will apply a fair price
the transaction. In this regard, the Company has considered and viewed that the reason for re- negotiation is reasonable and that the price of the Company’s shares has materially decreased. Although
will be the opportunity for the company to expand the investment in the future. Moreover, the transaction is reasonable due to increase the income of the company. The company bargains the 90 – day volume
such transaction. Clause 10 In the case where an intermediary has a reasonable ground to enter into a transaction for a client with the intermediary itself or a connected person in accordance with Clause
a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates a negligence of reasonable performance of duty in supervising persons
subscribers within a reasonable period. Clause 5. Regarding the registration of a pool of assets as a mutual fund, the management company must provide details of the results of the offering of investment units