brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction

private fund management; “connected person” 3 means the following persons unless otherwise prescribed herein: (1) a person with a relationship or connection to a management company or a fund according to

characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in

notified by the Office, irrespective of whether they are borrowed under one transaction or consecutive transactions from one lender or more. Clause 6. In carrying out the borrowing and lending of securities

connection of physical disconnect and disable port that unnecessary to connect to network system out of the network system. [M] · In case of accession to the network system as remote access or connect to

; “securities investment analysis” means an analysis on information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly about the value or an appropriate

, financial condition and operating results, related party transactions, acquisition and disposal of assets, or any other material transaction; - establishing adequate and appropriate internal control in the

connection of the Code with the vision, objectives, goals or strategy which leads to creation of values in the organization, and clarify the process supporting the compliance of the Board of Directors, the

needed should also be given; 2. If the objective above is to invest in a future project, disclose the details as specified in the Future Projects Section; 3. In case of a transaction with a person with a