record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of

such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or electronic recording

of share dividends; (f) conversion of securities; or (g) any other circumstance. (3) terms regarding restitution for compensation similar to the aforementioned circumstances to counterparty which have

........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on

Office. The Office shall grant permission to a management company to establish a branch office provided that the management company meets the following criteria: (1) The management company has sound

where such major shareholder is a legal entity, its director, manager and partner do not have any of such prohibited characteristics; 6) Being able to show its sound and effective management system; (7

sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such

requesting for permission to establish a branch office, the management company shall submit the form as attached to this Notification. Clause 5. In considering whether the management company has sound

reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in

hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person