, although both clients [or both groups of clients ] are classified in the same category which have to be treated equally; (5) [i] providing inappropriate service of each type or category of businesses which
both clients [or both groups of clients] are classified in the same category which have to be treated equally; (5) [i] providing inappropriate service of each type or category of businesses which has
of derivatives exchange to be in consistent with cost in connection with supervision on such business borne by the SEC Office.
principle-based advertising guidelines are sufficiently appropriate and consistent with securities regulations; (3) Standardize the warning notices as a single, most stringent format that covers
for the bond market are effective and consistent, SEC has appointed the Bond Market Development Committee to render advice on policy making and ensure timely cooperation among market participants. The
a loan from a financial institution. The Board of Directors and the Audit Committee view that the investment in such projects can generate long-term consistent income and the contract party is a
including knowledge sharing and promotion of environmental, social and governance (ESG)-focused investments, and (5) revision to the types and definitions of investors to be consistent in all notifications
(NAV) of investment units and the price of the investment units of UI mutual funds to be consistent with the guidelines of mutual funds for retail investors, mutual funds for accredited investors and
invest in assets that could be fraudulent, and SEC has not been able to extend its supervisory coverage to such businesses. Therefore, SEC intends to improve the regulations to be consistent with the