the intermediary has duty to disclose to investors; (3) providing any channels for clients to request an advice about investment in securities or derivatives from personnel who have duty to provide
information, which the intermediary has duty to disclose to investors; (3) providing any channels for clients to request an advice about investment in securities or derivatives from personnel who have duty to
Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the
disclose the fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the
it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a
which is different from that specified in the risk disclosure statement in Clause 21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any
21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any material information that may affect the derivatives trading to the customer prior