fund, the nature of investors, including on the basis of diversification of risks, the Office, upon the approval from the SEC, shall have the authority to issue notification to specify types of

policy, the investment policy specified in the fund’s article shall apply. In cases where the fund’s articles do not specify such investment policy, the investment policy associates with minimal risks

have the power to specify in its notification the rules with which derivatives business operators shall comply.

appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.

specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.

specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.

upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has

of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of

) .............................................., telephone: ........................ , facsimile:............................... If the Audit Firm does not incorporate and not operate as a sole entity, please specify the name and address of its network firm

· Receipt of money transfer [ ] 10. Other supporting documents ( please specify ) _________________________________________________ * Documents 2. – 4. shall be prepared in accordance with the formats set out