to understand the risks of bonds and up-to-date information before their investment, as well as to make information become easier to access. Therefore, SEC has improved the supervision guideline on
operators and relevant agencies, thus, needs to know and understand the principles and rationales of customer’s data protection and are required to operate their businesses in compliance with the Personal
such as chief executive officers, chief financial officers and chief accountants. This is to make sure that they understand their roles, duties and responsibilities from the start, as far as financial
fund with policy responsive to investors? needs. Mutual funds to be offered should fill savings-investment gap for targeted investors and easy to understand. Moreover, selling of investment units must be
Secretary-General, said ?With the current economic and social conditions and the outlook, in particular aging society, everyone needs to understand and realize importance of saving and investment to ensure
test to make sure that the clients understand their own risk profile and receive appropriate investment advice before making an investment or a transaction. Clear and comprehensive disclosure of
follows: 1 . We wish to express an intention to submit information electronically to the SEC Office and agree to abide by the following conditions: 1.1 We fully understand and acknowledge the SEC Office’s
instrumentality of a government; or a company, corporation, partnership, trust, estate, or association. similar product. product or transaction that has inherent credit risk. rated obligation. THE IOSCO CODE OF
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