be prudent. The management company should examine the procedure for obtaining the resolution and vote counting. In preparing a report on the resolution in order to amend the mutual fund scheme, the

investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation

held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the

shareholder or a partner of the juristic person which holds shares or partners in such juristic person, whether directly or indirectly, more than fifty percent of the outstanding shares or the total partnership

services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by

related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to

readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with

or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund

the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital

number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of