Office to be the service provider by complying with the rules, conditions and procedures as prescribed by the SEC Office. In case the outsourced function under Paragraph 1 is investment management of
the service provider by complying with the rules, conditions and procedures as prescribed by the SEC Office. In case the outsourced function under Paragraph 1 is investment management of mutual funds
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
clients’ assets. Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s rights over assets, without or not complying
Plans 02 Legal Disclaimer The Investor Agenda and its partners are committed to complying with all laws and regulations that apply to them, including antitrust and other regulatory laws and regulations
or financial institution established under specific law; (10) the applicant is not in breach of any condition in complying with the terms and conditions. Clause 17 The applicant shall not have any of
in investment, investment background, and record of borrowing money for purchasing securities and borrowing securities for making a short sale; (c) readiness and understanding in complying with the
the SEC Office notify the result of the deliberation otherwise. (3) the appraisal company in capital market or the lead appraiser may obtain a renewal approval by complying with the following