information under (1)(b) 1. to 3. Clause 11. In advertising the fund, the securities company shall at least have statement or warning as follows: (1) a statement related to how investors can acquire additional
. Clause 15. In advertising the fund, the securities company shall at least have statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
management company shall disclose the name of fund managers of each mutual fund in a report or document sent to unit holders at least once a year and in the web site of the management company. In case there is
the following documents relating to its fund managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers
In this regard, the SEC reiterates its warning to DA business operators to fulfill their duties in safeguarding clients’ digital assets in accordance with established criteria, with a primary
; 4) To revise the disclosure on risky debt securities by mandating a warning statement of investment risk of such products; and 5) To enhance disclosure of significant information that may have
payment for goods and services. In laying out the principles to be more appropriate, the SEC took into consideration the comments and suggestions given by stakeholders at a public hearing (during 25 January
investors to use its services, either via its website or Facebook Page: {X1}. On 5 April 2021, the SEC issued a warning letter requiring {X1} to submit a written response but {X1} failed to submit a response