such cessation of business or transaction takes place and such securities company must not have any pending report. Such exemption shall desist when the securities company has resumed its business

intend to apply for approval for investor contact. Clause 7. The approval for investor contact is given for two-year period, the first approval takes effect as from the approval date and the two-year

company; “Mutual fund manager” means any mutual fund manager who obtains approval from the Office under the notification of the Office of the Securities and Exchange Commission governing rules, conditions

or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an

manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to

relevant information of such report, commencing from the month in which cessation of such business takes place. Such exemption shall desist when the business operator has resumed its business operation; (3

stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s

negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such

securities business. Clause 8. The approval to be listed in the register of person qualified to be property fund manager is given for two-year period, the first approval takes effect as from the approval date

approval takes effect as from the approval date and the two-year period shall be counted from the 1st January of the following year. Clause 11. In renewing for approval to be listed in the register of person