to the management company for considering an approval; (2) disclosure of information or documents needed for making investment decisions to clients, as well as arranging clients’ information in support
investments account and reviewing evidentiary documentation attached to the application before delivering them to the management company for considering an approval; (2) disclosure of information or documents
the seventh day of the following month. Clause 16. A securities company shall keep the information and documents related to the custody of client’s assets at least two years for the Office’s
) -5- Clause 16. A securities company shall keep the information and documents related to the custody of client’s assets at least two years for the Office’s verification and examination. CHAPTER III
of interest and other encumbrance. Where there is a disclosure of the investment portfolio, it should be disclosed to all investor equally; (3) Using of adequate and reliable information, documents or
reliable information, documents or referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and
project to commercialize; 3. the trust manager shall be responsible for preparing documents that contain sufficient information for the consideration of the trustee, the board of directors of the trust
and Disposition Notifications as follows: 1. Responsibility of the Board of Directors of the Company with respect to the information in documents sent to the shareholders The Board of Directors of the
rendering a waiver, the SEC Office may request the approved person to submit additional information or documents. In case the approved person fails to complete its offer for sale within the specified period