securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients; (5) in the case of
under the law on securities and exchange or the law on derivatives; (4) exercise prudence to ensure that the giving of information or advice will not be distorted, incorrect or misleading to the clients
distorted, incorrect or misleading to the clients; (5) in the case of giving information or advice to clients in a seminar, the requirements on giving investment advice at seminars shall be complied with as
mutual fund Prescription of additional rules Calculation and announcement of net asset values (NAV) Procedures for incorrect pricing Sale and repurchase of investment units Preparation of mutual https
/2001 2. Notification of the Office of the Securities and Exchange Commission SorNor. 12/2545 Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
prepared incorrect accounts with intention to deceive others about those fraudulent actions, violated Sections 307, 308, 311 in conjunction with Section 313, and Section 312(2)(3) of the Securities and
communication with a client . In addition, the intermediary shall communicate at the right time, with clear and reliable information, and without misleading information. Clause 29 In case an intermediary has
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
Misstatements that are material, but not pervasive, resulting from: ฆ 2.1.1 selection of an inappropriate accounting policy (paragraph ........); ฆ 2.1.2 incorrect use of accounting policy (paragraph........); ฆ