; “ capital market product having high-risk or complex characteristics ”5 means the following capital market products: (1) investment units having high-risk or complex characteristics including: (a) investment

not failed to submit such material information to investors or Home Regulator. Yes No If “No”, please specify __________________________________________________

any record of violation of the laws or regulations of Home Economy in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such

In case personnel in the capital market business have breached or failed to comply with Clause 23, the SEC Office shall consider and proceed in accordance with the regulations regarding possession of

receive such information. Chapter 4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification

any record of violation of the laws or regulations of Home Jurisdiction in matters relating to the disclosure of material information to investors or Home Regulator, and have not failed to submit such

the Securities and Exchange Commission No. Sor Thor 13/2557 Re: Rules in Detail related to Maintenance of Ongoing Capital Adequacy and Provisions in Case of Intermediary Having Failed to Maintain Such

material information to members of the Passport Fund/ Regulated CIS (unitholders) or Home Regulator, and have not failed to submit such material information to members of the Passport Fund/ Regulated CIS

the Securities and Futures Commission of Hong Kong, and have not failed to submit such material information to the investors of the Hong Kong Covered Fund or the Securities and Futures Commission of

. Clause 17 In case there is a certain fact appeared to the SEC Office that any management company or representative has breached or failed to perform in compliance with the rules as prescribed in this