Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means

hardcopy to the SEC.” Unofficial translation prepared by Legal Department PAGE 2 FORM 35-E1 Information with Representation and Warranty of the Company’s Director and Executive and their Consent [ company’s

. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale

regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities

private fund management company, the ratio of the shareholders’ equity presented in the latest audited financial statement is not less than that specified in the Notification of the Securities and Exchange

securities, the terms “ warrant ” “ execise of rights under warrants ” “ institutional investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholder ” and

reference. FORM 56-1 Annual Registration Statement For the financial year ending DATE MONTH YEAR Company: ............................................................................................... Note

substance information of the executive summary as provided in section 1 of the registration statement together with the subscription forms. Clause 10 A securities underwriter shall not disseminate information

offer for sale of securities; (2) “related person” means a person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the

Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by