appropriate consultation took place for difficult or contentious matters? If yes, Please describe the policies and procedures. If no, How does the firm ensure that the difficult or contentious matters have been

…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final

or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under

obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph “investor contact

person on a case-by-case basis. Such specified period of time shall not exceed five years from the date when such person is released from such punishment under the judgment, or from the date when the

jurisdiction or being prosecuted as a result of such complaint, or [ii] having been imprisoned by the final judgment of a court regardless of whether the infliction of punishment has been suspended, and having

or [ii] imprisoned by the final judgment of a court regarding the following offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment

the court .……….., case pending adjudication No. .……/25.. and adjudicated case No..……/25.. between.……………. and………………………………… for an offence of ……………………………………..…….. Punishment inflicted

intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association

for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association determines the guideline