of Capital for the portion in excess of the particular under Paragraph 1(2) of Clause 4 of such Notification; (3) in case the insurance does not provide retrospective coverage for damage arising from

following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and provide the following information, and clarify on such information in

advices about securities investment or securities investment analysis in the following cases: (1) Provide service for the institutional client where the securities company appoint a person who make a

, such securities company may arrange for a person who is not an investor contact to proceed, provided that such securities company shall comply with the following rules: (1) provide information to the

Services Clause 7 In providing services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide

services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each

company shall perform as follows: (1) Provide an effective operating system to support the operation in accordance with the standard of the Association concerning with the supervision in securities trade of

to provide services involving investment or transaction in consistency with risk tolerance of a client unless the client is as follows, such suitability may be whether assessed or not: (1) an

understanding of the requirements under HK-TH MRF MoU, the SEC hereby would like to clarify the details thereof and provide information on related practices as follows: 1. Objectives of HK-TH MRF MoU HK-TH MRF

or health impairments; If the clients under Paragraph 1(1) or (3) is financially literate or have made investment, the intermediary may provide or offer services suitable for such clients. Chapter 1/13