shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy correctly; (2

evidentiary documentation retrievable for inspection by the SEC Office. Division 2 Specific Rules for Execution of Transactions for a Fund with a Management Company or a Connected Person _________________

inconsistent with the stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication

significant impact to customers, business operation and a compliance with regulations in case of emergency incidents happened. However, the latest data recoverable may be a data recovery as of the end of day of

investment through a website or any other electronic media which may be securities analysis in a personal article accessible for the general public’s perusal or sharing of opinions on investment through a

release date of such analysis report or article to customers, as the case may be, and shall be readily accessible or open to inspection by the Office during the first two years of the 5-year period. Clause

information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy