the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify __________________________________________________
NRI CIS have been or would be offered for sale in Home Jurisdiction, and have not been the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
solicitation; (2) having a clause prohibiting the representative from appointing a sub-representative; (3) overseeing the representative to comply with the clause in the agreement and the rules on sale or
cooperate with the SEC Office for the result of compliance with such rules; (3) prohibiting the representative from appointing a sub-representative; **(4) stipulating that the representative must cooperate
prescribed in sub clause (a) to (c) to the SEC Office immediately. Division 3 Prohibiting an intermediary to enter into a transaction constituting conflicts of interest _____________________________ Clause 19
directors on the anti-corruption policy of the Company and the subsidiaries, prohibiting demand, receipt and payment of bribes and optionally covering the scope of actions. In case of no resolution on such
) reporting the operations as prescribed in sub clause (a) to (c) to the SEC Office immediately. Division 3 Prohibiting an Intermediary to Enter into a Transaction Constituting Conflicts of Interest
the following matters: Policy : Disclose the resolution of the board of directors on the anti-corruption policy of the Company and the subsidiaries, prohibiting demand, receipt and payment of bribes and