-third of the maximum capacity of the infrastructure business , unless it can be demonstrated that an excess of such proportion is in accordance with the nature of the industry of such infrastructure

securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the

the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and

preparations for economic, social and environmental changes, which will lead to the increase in opportunities and competitiveness. The Company may provide a brief description as deemed appropriate. In addition

) “Industry Association Guidelines” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry

, sales and distribution channels. In case of export, specify the domestic/export sales ratio, the markets or the groups of export markets for such major products or services; (b) Describe the industry

exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse

receive professional publications that keep its personnel abreast of changes in accounting and auditing and any client industry specific pronouncements? If no, how you keep current with changes? 14 Discuss

managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any

effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system