where the Company has debt securities such as debenture and negotiable instrument, describe the significant characteristics of such securities. For example, type, unredeemed amount and value, maturity

right to put and call options; 1.5.2 In the case where the Company has debt securities such as debenture and bill, describe the significant characteristics of such securities. For example, type

....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of the securit...

necessary for carrying out critical activities ; “ critical information systems ” means information systems which support the operation of the critical activities , for example, trading systems, back-office

performance fee basis, the method for calculation of the performance fee should be disclosed together with the disbursement fee and the example of the calculation. (3) Investment policy and investment

requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and

. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other

investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically

, for example, limited types or number of service users; (4) specifying a period of participating in the regulatory sandbox to be no longer than one year as from the approval date; (5) having the study or

laws are domestic legislations or foreign legislations, : O Yes (please specify) For example, the date of accusation or prosecution ………………………. Being accused or charged of.………………………...………… Under law