/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
follows: Protection of shareholders' right and fair treatment of shareholders Transparent and fair shareholding structure; Directors, executives and major shareholders do not have conflict of interests or
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
audit committee serve as director in business partner company? A: A qualification on independence of audit committee specified that the committee must not have conflict of interests with the company. If
whether such service provider is borrower's or lender's counter party of agent. Undertaking securities borrowing and lending business under the first paragraph shall, however, not include the followings
about the investme nts and any conflict s of interest; (6) Any other information about the private fund to protect the client's interest. Nevertheless, the provisions shall not apply to Government
about the investme nts and any conflict s of interest; (6) Any other information about the private fund to protect the client's interest. Nevertheless, the provisions shall not apply to Government
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such