Debt Instruments (No. 6) dated 3 August 2004. (Unofficial Translation) Page 2 of 12 (12) mutual funds; (13) juristic persons whose audited financial statement of the recent year demonstrate a capital
Brokerage and Securities Dealing which are not Debt Instruments (No. 6) dated 3 August 2004. (Unofficial Translation) Page 2 of 12 (12) mutual funds; (13) juristic persons whose audited financial statement of
court for an offence relating to property committed with dishonest intent: O yes O no 6.3 Having been a director, manager or person with managing power of a financial institution whose license has been
with managing power of a financial institution whose license has been revoked: O yes O however, such case has already been granted exemption by the SEC; O pending application for exemption from SEC; O
companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
back office services to securities companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core
provider of back office services to securities companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core
on which the advice is given or order is placed, as the case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been
(HK) Limited ( the “Seller” ) on May 15, 2019 regarding the acquisition of ordinary shares of Co-Mass Co. , Ltd. ( “COMASS”) by Eye On Ads Company Limited (“Eye On Ads”), the Company’s subsidiary whose