example, trader codes/details of the business entities whose financial statements for the latest period have been signed by an auditor in giving opinion or whose working paper has been reviewed by the SEC
and their subsidiaries for the previous accounting period , on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the
their subsidiaries for the previous accounting period, on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the
suspicion of management mechanism in the following manners: 1. there is a possibility of unfair treatment of shareholders by improperly giving more benefits or an advantage to any group of shareholders over
presented on the same page: 1. rank, name, or type of awards received; 2. date, time or the period when the award was granted; 3. name of the institution giving the award or rank; 4. statement as referred to
, time or the period when the award was granted; 3. name of the institution giving the award or rank; 4. statement as referred to in Clause 8(1)(a) and (b); (2) In case of advertisement related to ratings
Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving advise to the investor or client of a securities
October 2006. (Unofficial Translation) Page 5 of 12 Division 1 Contacting, Soliciting, or Giving Advice to Client and Performance of Duties as Professional Clause 10.12 In contacting, soliciting or giving
Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The
Management of Property Fund and Loan Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund