the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify __________________________________________________
the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7. The prohibition of securities subscription under Clause 5 or the prohibition
to allocate securities under the Notification of the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7 The prohibition of
NRI CIS have been or would be offered for sale in Home Jurisdiction, and have not been the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify
custody of clients’ assets shall be made in writing. Such contract shall have a prohibition of an appointment of a sub-agent, and indicate terms and conditions relating to the responsibility of the agent
of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
make it impossible to match such orders. 3.6 Risk from Position Restriction or Prohibition The Derivatives Exchange, the Clearing House or the Office of Securities and Exchange Commission may order
and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current
Clause 31 in order to identify the real client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is