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
promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting
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
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
competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of
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