attached herein the information on such appraisal. 5. Legal disputes Give a brief description of the ongoing lawsuit(s) or legal dispute(s) whereby the Company or subsidiary is a party. The description shall
Clause 7. Clause 3. The derivatives brokers shall establish branch office only after obtain an approval from the Office according to rules prescribed herein. Chapter 1 Full-service Branch Office and Online
days as from the date of receiving the application from the SEC Office. The agricultural derivatives business license shall be in accordance with the forms attached herein. Clause 8 The application fee
trading is for hedging or for investment of its proprietary account and complies with the rules prescribed herein. Clause 4. The derivatives broker shall trade derivatives contract for hedging purpose to
private fund management; “connected person” 3 means the following persons unless otherwise prescribed herein: (1) a person with a relationship or connection to a management company or a fund according to
investors or securities/investment analysts, such information shall also be disclosed herein to ensure equal information for investors. 1.3 Shareholding Structure 1.3.1 Shareholding structure of the group of
system or readiness of personnel as specified in Clause 12 (3), as the case may be, or not able to act in compliance with rules prescribed herein for every day during which the operation of such branch
according to rules prescribed herein, whichever amount is higher. Clause 17 Any licensee who has not paid the total fee or the remaining fee based on business volume under the Notification of the Securities
comply with the provisions prescribed herein or the rules prescribed by the SEC Office by virtue of this Notification, or the service provider fails to maintain the qualifications or possess prohibited
of assets for business restructuring or upon re-appraisal at an interval accounting period, disclose the information on the appraised assets and the appraised price, and attached herein the information