. General information and other material facts 19 Part 2: Corporate Governance 6. Corporate governance policy 21 7. Corporate governance structure and material facts related to the board, 23 subcommittees

during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past

. Assets 5. Legal disputes 6. General information and other material facts Part 2: Management and Corporate Governance 7. Securities and shareholders 8. Organizational structure 9. Corporate governance 10

: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Main/Home Exchange: _____________________________________________________ 5) Legal Structure of Foreign ETF

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.

that the securities company is able to demonstrate establishment of the organizational structure which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts

: ________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal form of NRI CIS: Legal entity Unit trust Any other structure acceptable to participating jurisdictions 5) Type

written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or

board to be in charge of the implementation of the business continuity management policy. In case of any material amendment, change or modification to the business continuity plan, the securities company

opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy