parties and contains at least the particulars and substances as specified by the SEC Office. 2A contract or an agreement in Paragraph 1 shall not have any statement that are in the manner of denying or

shall not be applicable to the following assets or persons: (1) assets of a client which is a mutual fund, private fund or any other similar fund under management of a securities company in its position

to provide services involving investment or transaction in consistency with risk tolerance of a client unless the client is as follows, such suitability may be whether assessed or not: (1) an

Capital Clause 4 The liquid assets which may be used for maintenance of the capital are the following assets which are free of encumbrance and are not short-term investments with the intention of resale or

Supervisory Board including any regulations or guidelines issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation

plan on information systems in accordance with the results of risk assessment; (b) define the scope of technical audit on information systems to cover key assessed risks, provided that such audit shall

of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2

) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the

the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and

that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes