Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities

October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving

in contacting investors in each category the company is required to assign separate personnel to do the task. This causes inflexibility in providing services to investors and overlapping with respect

date in the form which can be promptly retrieved and inspected by the Office. Chapter 2 The operation Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as

published in the Government Gazette dated August 23, 2019, effective November 21, 2019, stipulated that a debt collector or the person specified by the debtor as a debt collector is restricted to contacting

million. · The new customer No.2 • Source of the new customer No.2 The sales process of the Company to find a new customer is contacting any TV broadcasting platform. In the meantime, the Company had

Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund or to become a counterparty to a private fund management contract, the

investment policy is standardized as specified in the notification of the Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund

notification of the Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund or to become a counterparty to a private fund management

gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity