pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3

Performance; (2) Securities Business Report; (3) Other reports as required by the SEC Office for the purposes of supervision and inspection of securities companies’ status and operations. Clause 2 Any

the SEC Office: (a) identifiable information manifesting the client and all persons who are the beneficial owners of derivatives contracts regardless of directly or indirectly; (b) the purposes of

house or the SEC Office: (a) identifiable information manifesting the client and all persons who are the beneficiaries of derivatives contracts, both directly and indirectly; (b) the purposes of

during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to

following actions during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the

or borrowing or lending, or for any other purposes as specified by the Notification of the Securities and Exchange Commission governing custody of clients’ assets by securities companies, shall prepare

for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre-conditions or post

regard, the information shall also cover the following matters: 1.1.1 Overview of the vision, objectives, goals and business strategies of the Company or the group of companies, as specified by the Board

following matters: 1.1 Vision, objectives, goals and operational strategies Provide as much information as deemed appropriate on the vision, objectives, goals and operational strategies of the Company or the