is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the

seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of

period; (2) in case such person has been vacated from the approved position due to any cause other than being revoked the approval by the SEC Office such as the expiration of the term of office and such

securities companies or provided by training institutes approved by the Office; or (ii) being a lecturer, instructor or full-time teacher or guest lecturer at university-level educational institutions accepted

following qualifications: (1) Being executive of a securities company. This shall be limited to only one person for each securities company; or (2) Being mutual fund manager or private fund manager. Clause 6

exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent position

....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of the securit...

the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this

and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The

) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and