disclose information to the investing public via VDO and Power Point presentations at IPO roadshows. In any case, such visual and audio presentation must contain at least material information, for example
taken into consideration. Said regulations shall include at least the following matters: (1) policies on prevention and handling of conflicts of interest; (2) adequate measures to prevent directors
clearing houses and central securities depositories, and benefits of the public and clients shall be taken into consideration. Said regulations shall include at least the following: (1) policies on
will take for the fund to recover, measuring from the point of maximum loss to the point of recovery of initial investment. FX Hedging refers to the percentage of investments denominated in foreign
. Recovering Period refers to the recovering period as information for investors on how long it will take for the fund to recover, measuring from the point of maximum loss to the point of recovery of initial
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent