( ) Common shares ( ) Preferred shares 8.2 Convertible securities ( ) Warrants 8.3 Others (please specify) Information to be provided under item 9, 10 or 11 shall depend on the nature of action that
, provided that any of the following conditions is met: (a) the intermediary is unable to dispose of the assets of the open-end mutual fund based on a reasonable ground; (b) the intermediary is able to
necessary and expedient otherwise and a waiver has been granted by the SEC Office. Clause 7 The documents or evidence filed with the SEC Office as required by the provisions under this Notification, both
statements provided in response to Part VIII. Financial Information, selected audited historical financial data regarding the issuer or, if the issuer is the holding company of a group, the group which shall
relating to operation of the branch office In the case where the management company does not comply with (2) to (4), the management company may be granted permission from the Office only when the management
service as per its granted scope. Nevertheless, if the management company intends to expand the scope of services or change the nature of services that is provided by the branch office from the scope that
Online Branch Office --------------------------- Clause 4. It shall be deemed that the Office approves the establishment of the full-service branch office and online branch office, provided that on date