Article 66 of Capital Markets Authority Law

A person licensed to engage in the management of securities activity must comply with the controls specified by the Regulation, in particular the following: 1 - Separating commercial dealing in his securities from all other commercial business. 2 - Maintaining sufficient capital. - Not transferring clients' funds or securities for his own use, or mismanaging them. 4 。 Not resorting to a high degree of credit for the purpose of acquiring or holding securities. Having reasonable grounds to believe that securities he recommends to a client are suitable for that client. Not making promises to the client of a particular return or any guarantee against loss, unless 6 the nature of the security necessitates this. - Striving to achieve the best performance in the client's interest. Not collecting high commissions or offering high discounts in transactions. Not engaging in excessive purchase or sale transactions in a client's account. Providing clients with documents and account statements relating to their transactions. A 9 10 11 - Preparing and maintaining regular books and records. 12 - Appointing one of his managers as responsible for implementing legal obligations. 13 - Having written supervisory regulations, systems, and rules for controlling work, including procedures for preventing misuse of inside information and procedures for detecting and preventing money-laundering operations.