redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction Confirmation of Clients
should be rigorous, capable of being applied consistently, and, where possible, result in credit ratings that can be subjected to some form of objective validation based on historical experience. 1.2
restriction; (6) in case of an offering of structured notes that requires the quota verification of underlying shares, the Company has been notified by the SEC Office of the confirmation of such underlying
determine methods and procedures for securities trading for clients on a time priority basis and give priority to the benefit of clients over the benefit of itself. In particular, it shall trade securities
securities company shall determine methods and procedures for securities trading for clients on a time priority basis and give priority to the benefit of clients over the benefit of itself. In particular, it
incorrect until the date on which the unit value is correct, and shall take the following actions only on such particular dates on which the difference between the incorrect unit value and the correct unit
found incorrect until the date on which the unit value is correct, and shall take the following actions only on such particular dates on which the difference between the incorrect unit value and the
value is found incorrect until the date on which the unit value is correct, and shall take the following actions only on such particular dates on which the difference between the incorrect unit value and
advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow