it for at least five years as from the trading date, of which evidence and document of the latest two years must be available for the Office’s request or inspection. Chapter 2 Securities Trading Clause
suitable to the investment objectives, knowledge and understanding of investment, acceptable risks, and other factors of the investor. The management company must request the investor to provide such
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
investment which is suitable to the investment objectives, knowledge and understanding of investment, acceptable risks, and other factors of the investor. The management company must request the investor to
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 process, securities company shall monitor
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
paragraph, such person shall submit the request form as prescribed in the Office’s electronic work system as well as pay the related fee as per the notification of the Office of the Securities and Exchange
application referred in the second paragraph, such person shall submit the request form as prescribed in the Office’s electronic work system as well as pay the related fee as per the notification of the Office