deal with having conflicting demands on time from clients and/or management responsibilities and how are they supported? 2 How does the firm ensure that partners have sufficient time needed to maintain
securities business, derivatives business or any other business of financial service or participates or supports or having participated or supported such act of other person; (2) there are reasonable grounds
changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In
implementation Details 1. To acquire assets or finance acquisitions of other business, related to the operation of the current business. - In case of asset acquisition: describe the types of assets and their
appropriate for the investment of the general investors and having the potential to generate income to the fund continuously; 2. being supported by documents evidencing the ownership or rights or agreements
and acquisition) during the past three years; 1.1.3 Specify whether or not the Company has already spent the raised fund to serve the objectives declared in the registration statement for securities
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
complex capital market products, and [ii] supported by written materials and nformation; (4) advise on the client’s suitability for investment in or entering into transaction of risky or complex capital
and controlling system for acquisition and disposition of client’s assets; □ (3.3) System for verification and reconciliation of client’s assets to ensure accuracy and completeness; □ (3.4) System for
information related to clients that should not be disclosed and has become known by an intermediary through its operation of securities business or derivatives business; “ investment ” means an acquisition