provided in Clause 10 and Clause 11, an intermediary who wishes to outsource operational function under Clause 8(1) to (9) and (11) to a service provider shall obtain an approval from the SEC Office prior to
intermediary who wishes to outsource operational function under Clause 8(1) to (9) and (11) to a service provider shall obtain an approval from the SEC Office prior to such outsourcing, and the intermediary
securities company shall prescribe that the investor contact who wishes to give advise or provide investment analysis in securities through mass media shall seek an approval from the securities company in
Repealed. Clause 12/1.15 16 Repealed. Clause 12/2.17 18 A securities company shall prescribe that the investor contact who wishes to give advise or provide investment analysis in securities through mass
of the REIT; (2) in case it is underwriting for the benefit of the parent company or the subsidiary company of the securities underwriter where the company wishes to distribute the held REIT units
) in case it is underwriting for the benefit of the parent company or the subsidiary company of the securities underwriter where the company wishes to distribute the held REIT units. Clause 4 A
according to the Licensing Manual for the Public. In the case where the applicant wishes to request a waiver of the rules under this Notification, the applicant shall submit a request for the waiver together
Public. In the case where the applicant wishes to request a waiver of the rules under this Notification, the applicant shall submit a request for the waiver together with evidentiary documentation to the
the Office. Clause 11. Repealed. Clause 12. Repealed. Clause 12/1. Repealed. Clause 12/2. A securities company shall prescribe that the investor contact who wishes to give advise or provide investment