underwritten securities in such a manner that any change in such securities may directly impact the price of the underwritten securities upon complying with the following conditions: (1) an article or research
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
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
out a comply or explain approach to adhering to any policy on high-impact activities. Establish a formal investment policy on fossil fuels and other high-impact sectors and activities including
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