market product s including [existing] clients of an intermediary . “ institutional investor ” means an institutional investor as specified in the Notification of the Securities and Exchange Commission

market product s including [existing] clients of an intermediary ; “ institutional investor ”5 means an institutional investor as specified in the Notification of the Securities and Exchange Commission

). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant

custody, whether in its own premise or other person’s, such premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets

company shall appoint only one person from such register to be Fund Manager according to rules under Clause 8, or Clause 17 the first paragraph (3); (2) in case the management company appoints its employee

which causes a movement or change in the client’s assets for a consecutive period of one year or longer, the securities company shall send a report on the client’s assets as of the last business day of

Supervisor ______________________ In pursuance of the Notification of the Office of the Securities and Exchange Commission governing the qualifications of the mutual fund supervisor – one such qualification

ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed

into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a contract

of more than one product line or business group, disclose the income proportion of each in the table below, which shall include at least those contributing more than 10 percent of the total income in