the subject of any banning or prohibition order of sale by Home Regulator. Yes No If “No”, please specify __________________________________________________
the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7. The prohibition of securities subscription under Clause 5 or the prohibition
to allocate securities under the Notification of the Capital Market Supervisory Board governing subscription, underwriting and allotment of newly issued securities. Clause 7 The prohibition of
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
of the outbound product is not subject to any prohibition order by the regulators: (a) being a regulator which is a member of the International Organization of Securities Commissions (“IOSCO”) and is
make it impossible to match such orders. 3.6 Risk from Position Restriction or Prohibition The Derivatives Exchange, the Clearing House or the Office of Securities and Exchange Commission may order
institutions established by the specific law. (2) a written contract upon the appointment of an agent for the custody of client’s assets shall be arranged. Such contract must contain a prohibition on appointment
; □ (2.3) Personnel planning for business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting
(name of agency)....…………………....……..…..(document attached) (if any) O no 6.14 Pending under prohibition to be or act as a director, manager, or person with managing power or an advisor of a financial