lead to unfair treatment of investors, or the investors may not obtain correct or sufficient information to support their investment decision making; (5) the operation of the mutual fund is inconsistent
…………………………………………………………………… Representative of Debt Securities Holders………………………… Registrar and Paying Agent…………………………………….……… Warnings: “Prior to making an investment decision, investors should exercise their own judgment when considering
Settlement Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken
Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken into
decision for proprietary trading account to perform such duties; (2) Provide service for client relating to trading of government bond or bond that principal and interest are guaranteed by the Ministry of
company appoint a person who make a decision for proprietary trading account to perform such duties; (2) Provide service for client relating to trading of government bond or bond that principal and interest
Procedures for Dealing of Debt Securities (No. 9) dated 28 February 2005. (Translation) -6- (1) Provide service for the institutional client where the securities company appoint a person who make a decision
management company must disclose or cause to be disclosed adequately such information necessary for making a decision to invest in investment units or to enter into a private fund management contract with the