Information on the right of client 6.2 Information related to the private fund 6.3 Report on investment or the incurring of encumbrance according to the rules specified by the Office 6.4 The list of
perform duty as director, manager or person with power of management or advisor of another securities company, which is in support of financial conglomerate of securities businesses, bringing about
result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting
transaction including the detailed procedure in calculating such profit, loss, benefits or returns; (4) potential risks from entering into derivatives transaction including the factors causing risks and the
technology” as “an effect causing the securities company operate business inconsistent namely trading securities system was damaged and unable to operate in the normal condition etc. or an effect causing harm
…………………………………………… In offence relating to …………………………………………… Under the law…………...………………. (attachment) (if any) O No (6) is or previously has been an executive who have participated in causing damage or must be jointly
management company appoint its permanent employee to be Property Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with
securities business or derivatives business: O yes O no Form as of 25 July 2006 6.18 Having been a director, manager or person with managing power of a financial institution who have participated in causing
money with an agreement to transfer financial assets to the other party in exchange for cash or other returns, whereby causing an obligation to repurchase such financial assets in the future at the amount