on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is

intermediary not to comply with any requirement under this Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or

increase or decrease in the number of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution of share dividends; (f) conversion of securities

any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the

offering; (b) change in par value resulting in an increase or decrease in the amount of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution

efficiently on the condition that such outsourcing shall not have a result as if the intermediary does not operate the business. Additionally, the intermediary shall be in accordance with the following rules

frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a

of the return distribution or the reimbursement of capital to the unitholders; (b) fees or expenses collected from the unitholders; (c) any other cases approved by the SEC Office, provided that, in

company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities

the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least