investors to carefully and prudently study the information from the complete version of summarized significant features of securities (Fact Sheet) to clearly understand the product and appraise own risk
derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
the associated person thereof (if any), at the end of the accounting year. However, information concerning such associated person should also be clearly clarified. In the case where the REIT Manager is
shall making a clearly understanding with counter trader about the expiry date of such offering price end: (2) In case where the price being offered with conditions, securities company shall clearly
case where securities company offer a firm quotation, such securities company shall; (1) Purchase or sell with such offering price and shall making a clearly understanding with counter trader about the
conditions agreed provided that the securities company clearly explain the ground of refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details