Securities company shall supervise service provider to perform its operation in compliance with rules prescribed by the Securities and Exchange Commission or the Office and the guidelines provided by
advisory company shall supervise such investment advisory agent to comply with the contract, this Notification and relevant Notifications. Clause 7. The investment advisory company shall not permit the
transactions of clients in writing and shall supervise the amendment of transactions not to violate or fail to comply with the procedures and methods set out. Clause 25 A securities company shall not trade
to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall clearly
to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall clearly
for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
deceases, resigns or SEC has annulled the approval, or securities company is part of the financial conglomerate which has shareholder structure, internal audit and supervise by the official agency as SEC has
supervise its employees to comply with this Notification and the rules issued by the securities company in compliance with this Notification. Clause 22 In addition to those specifically prescribed, the SEC
this Notification: (1) “ fund ” means an infrastructure fund; (2) “ management company ” means a securities company holding a license to manage mutual funds; (3) “ infrastructure asset ” means: (a) the
. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale