conditions as follows: (1) being available for producing, selling products or rendering service, rent or management; (2) being expected to be utilized for more than one accounting period. Such assets shall be
beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not cooperate in producing identification or other documents under the KYC/CDD process, or produces
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
year such as manufacturing (number of factories, total production capacity), acquisition of raw materials or products for sale, number of raw material distributors, proportions of domestic and overseas
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
contract creating conflict of interest to the fund, Except that management company appoint other person to manage an investment independently by not taking part of such decision to invest. In this regard
sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each of or overall capital market products ; (2