assets of any persons under (1) to (7) in the form of private funds, provident funds or mutual funds. “Office” means the Office of the Securities and Exchange Commission. Clause 2. Giving advice in the

September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets

material change. Additional Guidelines - None - 4.2. Asset Classification and Media Handling Objective: To ensure that the critical IT assets are protected at an appropriate level and to prevent unauthorized

underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the

media or objects. This does not include the information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units

companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment

assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to protect the client ’s assets and comply with the specific Notifications stipulating

public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following information: (1) list of name of persons who

. Clause 14 A securities company shall require that any investor contact who wishes to give advice or conduct analysis of securities investment through media seek a prior approval from the securities company

the client ’s asset which is under the following rules: (a) in case the client ’s assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to