which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

Company or a subsidiary materially but the assessment whereof cannot be quantified in numbers, and (3) any lawsuit that is not caused by normal business undertaking of the Company or a subsidiary

the business undertaking of the Company or a subsidiary materially but the assessment whereof cannot be quantified in numbers, and (3) any lawsuit that is not caused by normal business undertaking of

) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or documents which can

quantified in numbers, and (3) any lawsuit that is not caused by normal business undertaking of the Company or its subsidiary. Disclosure of any lawsuit that is part of the normal business undertaking is not

fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

the Securities and Exchange Commission; (8) “ closing time of normal trading session ” means the closing time for derivatives trading in the afternoon session of the derivatives exchange. Clause 2 This

be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action. Clause 8 An intermediary shall

referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a

brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom