is offered by a company to be listed on the Stock Exchange whose initial public offering has been approved by the SEC Office and the registration statement and draft prospectus have become effective
product is offered by a company to be listed on the Stock Exchange whose initial public offering has been approved by the SEC Office and the registration statement and draft prospectus have become effective
in a face-to-face manner to clients who appear in person before the intermerdiary’s employees; (2) clarify the effect of investment or transaction in case of worst case scenario described in prospectus
prospectus and factsheet; (3) record any recommendation in form of document or an audio file. In this regard, the intermediary shall request the clients to examine the content of recommendation recorded on
draft prospectus, and shall ensure that its major shareholders, executives, and controlling persons comply with such obligations, unless otherwise approved by a shareholders’ meeting. Clause 16 After an
prospectus or other information related to an offer for sale of securities , and submit a fact sheet of the financial instrument as required to be done by the issuer in accordance with the Notification of the
information to the counterparty. 4 Clause 12/14 In the case where a securities company buys securities from an issuer to resell to a client, the securities company shall distribute prospectus or other
to deliver such request to head office or other [full] branch offices for considering; (2) rendering information prepared in prospectus or other information, which the intermediary has duty to disclose
securities or derivatives trading in order to deliver such request to head office or other [full] branch offices for considering; (2) rendering information prepared in prospectus or other information, which