effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer
5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following
investments on the basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
preparations for economic, social and environmental changes, which will lead to the increase in opportunities and competitiveness. The Company may provide a brief description as deemed appropriate. In addition
from the closing date of the subsequent offering of units to increase the fund’s capital , as the case may be. Clause 24 The management company shall ensure that the commitment between the unitholders
) being a loan for trading or exchanging of securities with a securities company or a foreign financial institution which is permitted to provide services of such transactions under the law of the country
Attachment 3: Details of heads of internal audit and compliance units Attachment 4: Details of asset appraisal Part 1 Business Operation 1. Policy and business overview Provide an overview on the background