; 7.2 I understand the role, duties and responsibility of being an executive as appeared in the published document of the Office, Re: Manual of a Director of securities company, and I undertake to perform
Supervisory Board concerning Investment of Funds. The index is in accordance with the principle-based guidelines (having a clearly defined objective, being broadly based, having index components that qualify as
. I/We affirm that the offering document and the information of the NRI CIS being disclosed and distributed to investors in Home Jurisdiction will be disclosed and distributed without delay to investors
. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
Office: (1) Being held by a commercial bank, securities business operator or derivatives business operator not less than 75 percent of its total number of outstanding shares; (2) Being held by a holding
of the SEC Office □ Supporting document items are completed. □ Supporting documents items are not completed, and shall request for additional supplementary document as follows; 1
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this