responsible person for operating such branch. Clause 13 In case there are certain facts that a branch manager or a responsible person for operating a branch office has [i] failed to comply with Clause 12, [ii
22 of the Notification on Standard Conduct of Business, the intermediary shall provide evidentiary documentation that demonstrates facts representing such reasonable ground for entering into such
supervisory rules in effect at the time or to ensure the interest of investor protection, if any of the following facts becomes apparent, the SEC Office shall have the power to order the mutual fund management
management company within a reasonable period. In this regard, such information must be accurate and up-to-date, present neither misleading, distorted facts, nor material content that differs from such
misleading, distorted facts, nor material content that differs from such information filed with the Office. Clause 9. To ensure that the management of private funds shall be duly carried out in accordance with
contract with the management company within a reasonable period. In this regard, such information must be accurate and up-to-date, present neither misleading, distorted facts, nor material content that
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
; (6) “inside information” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired during the course of