clearly state that the shares are allocated to directors, employee) Securities: Shares Convertible Debentures (CD) Warrant Approval Conditions The SEC generally approves the offer for sale of ESOP, namely
SHARE : Detail Content Equity Instruments Shares Subscription, sale and allocation Criteria for limiting the allocation of shares for Initial Public Offering (“IPO shares") which are allocated to
fair. The offering for sale of the investment units to retail investors is subject to additional rules as follows: The information of the offering for sale shall be widely distributed to investors
materials can only be distributed only in the PP cycle. Must not co-sign the filing to allow PP shareholders to offer PO within two years Report the offering results to the SEC within 15 days Public
fair. The offering for sale of the investment units to retail investors is subject to additional rules as follows: The information of the offering for sale shall be widely distributed to investors
under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust
unitholders are informed of the access to such information channels via an email/SMS/ link to the website. Closed-end Funds Open-end Funds An annual report shall be distributed within 3 months from the
unitholders are informed of the access to such information channels via an email/SMS/ link to the website. Closed-end Funds Open-end Funds An annual report shall be distributed within 3 months from the
fund supervisor, the operation may be reject or suspense but not longer than one business day: (2.1) The assets or securities of the open-end fund cannot be reasonably disposed of, distributed or
fund supervisor, the operation may be reject or suspense but not longer than one business day: (2.1) The assets or securities of the open-end fund cannot be reasonably disposed of, distributed or