electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information contained in such advertisement. In case of specified property fund
contained in such advertisement. In case of specified property fund referred to in (1)(b), the estimated return shall be presented in term of dividend yield; (4) in case of specified property fund referred to
without any investment limit in order to create equal competition between securities companies and asset management companies. In the case where such Funds invest in crypto assets directly or indirectly via
warned the three branch managers against improper duty performance. Also, {X1} has already paid for the compensation in full for each affected client. Owing to this case, the SEC has found that {X1}'s
retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private
make the investment in time for acquiring tax benefits in such tax year. Clause 5. In case of advertisement of guaranteed fund or private fund with the same investment policy, the securities company must
instructed RS to clarify the reasonableness of the said transactions as they may raise several issues. For example, potential conflicts of interest under the business structure between RS and GIFT, the
offering). The independent financial advisor (IFA) considers that the information disclosure in this case is insufficient, and the company is exposed to the risk of absence of due diligence in the
applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your