. In the event that any management company shall designate another person to undertake the investment management, such designation shall comply with the following rules: 1(1) The person so designated
shall designate another person to undertake the investment management, such designation shall comply with the following rules: 1(1) The person so designated must be qualified to undertake securities
requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face
management to open such accounts or establishing new business relationships. (Unofficial Translation) - 5 - Clause 13. Securities company may rely on another financial institution to conduct face-to-face
another financial institution to conduct face-to-face meeting with clients when an account is opened / the first transaction is processed, provided that the following criteria are met: (1) the financial
executive of another company and shall not be a derivatives investment manager for any other persons in a manner which is similar to or which is in competition with the operation of the management company
); (4) the appointee shall not be an employee or executive of another company and shall not be a derivatives investment manager for any other persons in a manner which is similar to or which is in
relating to capital markets according to Clause 8; (3) a person to be appointed shall not be a director, executive, or employee of another company and shall not be a derivatives investment manager for any
securities by using an account of a client for another client who is not the account owner. Clause 26 In undertaking securities brokerage business, a securities company may assign other persons to act as its