under the law on securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients
distorted, incorrect or misleading to the clients; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as
unit, the redemption price of the investment unit (if any), as well as the proceedings in the case that the unit value, the offer price or the redemption price (if any) is incorrect. In this regard, if
experience appropriate to the functions of which they are in charge; (4) it does not appear that the directors, executives, and controlling persons of the applicant have any untrustworthy characteristics in
have any of the untrustworthy characteristics under the Notification of the Securities and Exchange Commission concerning the Determination of Untrustworthy Characteristics of Directors and Executives of
) the controlling persons of the applicant shall not have any of the untrustworthy characteristics under the Notification of the Securities and Exchange Commission concerning the Determination of
opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
mutual funds or provident funds , the payment for redemption of investment units or the payment of benefits to members of private funds that are provident funds , including the incorrect calculation of the
funds or provident funds, the payment for redemption of investment units or the payment of benefits to members of private funds that are provident funds, including the incorrect calculation of the number