intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under Clause 37 of the Notification on Standard Conduct of
stipulate a position limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
by the notification of the Office of the Securities and Exchange Commission on rules, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or
securities, as well as the suitability for investment and the relevant risk exposure. The effectiveness of the Registration Statement neither represents that the Securities and Exchange Commission, the Capital
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
Material changes and developments Give a brief account on the material changes and developments regarding the controlling power and the nature of business during the preceding year as well as the material
shall undertake all actions necessary to vest the new trustee with the right over the trust property and to allow the new trustee to learn of the previous and onward management as well as deliver
private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual
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