use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the

services to ensure that any investment of the client shall be within the allocated investment limit under (1). Chapter 2 Specific Provisions related to Providing Services of Inbound Products Which Are

Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation

Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a

organized by an agency recognized by the SEC Office no later than 31 December 2019. In the case where any personnel in the capital market business under Paragraph 1 fail to attend such training course within

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an

manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to

securities company. The Office shall notify the result of the consideration of the application within thirty days as from the date of receipt of application and completed documents evidence, in granting

obtaining an approval from Board of director of the company. In this regard, management company shall report such matter to the Office within five working days from the date of sale of such assets or the