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

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or

involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach

investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the

following matters: (1) the selection and supervision of the personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of

directors, managers or persons with power of management of the management company who manages the mutual fund under its supervision. (5) Not being involved in the management of any mutual fund in such a way

, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in accordance with the laws

operation before and after investment in order to enable the investment to be made prudently, carefully and appropriately. In this regard, for the purpose of: (a) the best interest of the customer or the

protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the management company shall carefully invest or seek benefit for a fund from securities

./Mrs./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1. The characteristics of