or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed Derivatives Broker Registered Derivatives Broker Securities Dealer Securities Companies and Other
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
into account the following two conditions: (1)The decision has been made with honest belief and reasonable ground that it is for the best interest of the company and; (2)The decision has been made
selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name
selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing in 2. Comply with the SEC regulations. 3. Correcting the misspelling of name
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
cases of unitholding for a consecutive period of not over one year, except that the SEC has granted a relaxation as deemed necessary and reasonable. 2. Rules for considering Associated Persons 2.1 In
be reasonable and there must be a process that allows shareholders who are affected by dilution to take part in the consideration Public Offering Placement (at discount) means i n the case of a
cases of unitholding for a consecutive period of not over one year, except that the SEC has granted a relaxation as deemed necessary and reasonable. 2. Rules for considering Associated Persons 2.1 In
Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о Securities Dealer о Derivatives Dealer • Advisor о