than one entity. Name of a qualifying delegate and sub-delegate (if any): _______________________________________________________________________ Economy(-ies) of a qualifying delegate and sub-delegate

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

, universality and completeness of the rules specified by the association. Clause 11. In case the derivatives fund manager will delegate the investment management of derivatives contracts to another person, such

results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on

company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place

may delegate the duty of disposal of the mutual fund’s assets according to (2) of the first paragraph to the management company. Where there is necessary and reasonable ground that the disposal cannot

company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function

delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function of disseminating or