assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
such cessation of business or transaction takes place and such securities company must not have any pending report. Such exemption shall desist when the securities company has resumed its business
relevant information of such report, commencing from the month in which cessation of such business takes place. Such exemption shall desist when the business operator has resumed its business operation; (3
stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s
negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such
securities business. Clause 8. The approval to be listed in the register of person qualified to be property fund manager is given for two-year period, the first approval takes effect as from the approval date
intend to apply for approval for investor contact. Clause 7. The approval for investor contact is given for two-year period, the first approval takes effect as from the approval date and the two-year
approval takes effect as from the approval date and the two-year period shall be counted from the 1st January of the following year. Clause 11. In renewing for approval to be listed in the register of person
transaction under the first paragraph takes place between a property fund and a connected person with the specific characteristics as prescribed in the appendix, in addition to the action under the first
the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the