appropriate to the circumstances. 3 The evaluation of performance and the calculation of the net asset value of each fund shall conform to the recognized academic principles or international standards as
analyze securities investment; “investment advice” means any direct or indirect advice made related to the value of securities or appropriate of investment in such securities or any other securities
investor contact who cannot analyze securities investment; “investment advice”3 means any direct or indirect advice made related to the value of securities or appropriate of investment in such securities or
means any direct or indirect advice made related to the value of securities or appropriate of investment in such securities or any other securities; “securities investment analysis”4 means an analysis on
requirements of such person; (12) “ specific advice ” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1
) “specific advice” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1 Operational Control _____________
efficiently use within appropriate time, including having security system sufficient to prevent an access or amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange
derivatives business, both in document or electronic format, are accurate, complete, can be able to efficiently use within appropriate time, including having security system sufficient to prevent an access or
accurate and suitable investment advice for clients. Clause 13/1 6 A securities company licensed to undertake the securities brokerage business and providing advice to client by foreign securities business