specifying that the advice is given on behalf of the investment advisory company and the investment advisory company shall be responsible for the advice given to each customer; (4) statements on fundamental
with the requirements under this Notification; (4) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to
) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to comply with requirements of this Notification; (5
order to exercise power to reject an approval under Clause 32 and suspend or revoke an approval under Clause 33(2) or (3), or [ii] for the benefit of specifying condition or period under Clause 34(3), the
of sub-agent, terms and conditions on the responsibility of the agent, terms and conditions on the person responsible for the damage of the client’s assets, and terms and conditions specifying that the
, terms and conditions on the responsibility of the agent, terms and conditions on the person responsible for the damage of the client’s assets, and terms and conditions specifying that the agent must
. specifying the source of data used in decision making, the study of analysis/research article, criteria in selecting the investment, fund manager’s rationale for deviating investment plan from the conclusion
) having the feature of structured note, except when having all of the following characteristics: (a) granting the callable right to debtor or the puttable right to the REIT; (b) specifying fixed interest or