. ---------------------- The Office of the Securities and Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 1/2548 Re: Rules for the Exercise of Fund’s Voting Rights at the
prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place, so as to efficiently accommodate the
insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or
exercise its discretion or make decision in the operation for the intermediary; “ end user ” means the employees of the intermediary and contractors who engage in the operation and has access to the
Services of Outbound Products Clause 10 In providing services to clients regarding investment in an outbound product , the intermediary shall put in place a procedure to ensure that the outbound product has
protect the interest of the fund and to promote good governance to the listed company in which the fund has invested. Guidelines 1. The guideline for the exercise of a right to vote shall be clearly
and procedures as provided on the website of the SEC Office within 15 days as from the last date of each month having redemption or exercise; (2) the report of the exercising right to purchase