search for newly issued bonds and sort the results by the subscription date, the term length, the interest rate, and the name of issuer. In addition to the basic search function by the name of issuer

further. Clause 9 The SEC Office will notify the result of the deliberation of the application within 45 days from the date which the SEC Office received the application and a complete set of evidentiary

investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

.: _________________________ Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the CIS Operator delegated (or sub-delegated) to other entity(-ies)? Yes No If “Yes”, please specify the

under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. (UNOFFICIAL TRANSLATION) 8 Clause 17. The securities company shall not delegate the function of advertising to

. (UNOFFICIAL TRANSLATION) 8 Clause 17. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units

clear, legible or audible. The provision under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not delegate the function of

shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or

: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Page 7 of 9 Form 35 – ARFP CIS Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the

company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function