precaution shall be indicated in the documents published for dissemination of mutual fund rating information, containing essential statement that the information on mutual fund rating should be used only for
clients’ assets, payment of interest shall not be deemed as a transaction causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to
causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to its custody of clients’ assets for at least five years. Such information
to invest in the project due to reasonable return and low risk, despite the fact that the IFA’s opinion on the risk of unclear source of funds, and present to the shareholders for approval. Agenda 10
obligated by disclosure in offering documents circulated to investors (if any). (2) name, term, type, and objective of the REIT; (3) name, address and telephone number of a settlor, and a statement indicating
, it shall be deemed that the offeror no longer wishes to file the registration statement and the draft prospectus with the SEC Office, in which case the SEC Office shall return the registration
keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the Office, and arrange to
interest, including keeping documents and evidence relating to the operation to facilitate the operation audit; (2) Arrange to have personnel to perform duties as fund manager, subject to approval of the
and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and