date in the form which can be promptly retrieved and inspected by the Office. Chapter 2 The operation Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as

million. · The new customer No.2 • Source of the new customer No.2 The sales process of the Company to find a new customer is contacting any TV broadcasting platform. In the meantime, the Company had

communication with a foreign regulatory agency, foreign authorities and foreign service providers in order to support in case of the occurrence of emergency incidents causing cross-border impact. In contacting

impact. In contacting with foreign regulatory agencies, a intermediary is able to contact through its foreign counterparties or the SEC. Division 8 Companies shall test and assess the BCP (Training

Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund or to become a counterparty to a private fund management contract, the

investment policy is standardized as specified in the notification of the Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund

notification of the Office. Clause 8. In offering investment units or contacting and soliciting any investor to purchase investment units of a mutual fund or to become a counterparty to a private fund management

gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity

name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling person, name of the entity, shareholding structure of the entity

), the securities company must gather information on name, last name, nationality, occupation, residential address, contacting address, name of ultimate beneficial owner, name of ultimate controlling