contract with the derivatives dealer. Clause 13 8 A derivatives dealer shall provide the procedure to ensure that the clients acknowledge and understand the information and risks relating to derivatives
information technology shall be widely communicated to the relevant personnel of the intermediary in an easily accessible manner in order for such personnel to understand and be able to comply with such policy
audit quality when notified by the SEC Office; 3. I consent to prepare and deliver information or evidentiary documentation as required by the SEC Office, no matter if such information or documentation is
underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the
comparison or the difference between return from investment in the fund and other investments shall incorporate material information which enables the investors to understand the differences among various
Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS Operator Please
) [ ] [ ] 2. Key Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS
and the audit firm consents inspectors of the SEC to inspect the audit quality system when the SEC requires. 3. I consent to prepare and deliver information that the audit firm will prepare or obtain
past 3 years; 2. Audit Firm Profile and Details. I hereby certify that: 1. The information provided in the Form of Audit Firm Profile and Details and the supporting documents attached therewith is
Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board