Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 16 July 2013. Clause 2 The following Notifications shall be repealed: (1) Notification of the

: Cancellation of the Notification of the Securities and Exchange Commission relating to Management of Mutual Funds and Private Funds, dated 10 June 2004, including all applicable notifications of the Office

of Mutual Funds and Private Funds, dated 10 June 2004, including all applicable notifications of the Office, orders and circular letters issued under or providing guidelines for compliance with the

of Mutual Funds and Private Funds, dated 10 June 2004, including all applicable notifications of the Office, orders and circular letters issued under or providing guidelines for compliance with the

4. A notifications of allegation, appointment, imposition of administrative sanction, consideration on appeal or any other matters shall be made in writing. Clause 5. In cases of urgency or where a

Offering for Sale of Units of Foreign Collective Investment Scheme dated 17 January 2018, the SEC Office hereby issues the following regulations: Clause 1 The following Notifications shall be repealed: (1

confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position limit of their clients, the

confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, 3 which specifically stipulate a position limit of their clients, the

-money laundering legislations” means all legislations in relation to anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7

anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7) “Industry Association Guidelines” means guidelines concerning risk