suspicious and defective in many aspects. For example, (a) the investment consultant who affixed the signature in the requisition form for share transfer from client account was not the investment consultant

clients. In addition, a certain share transfer from a client account was found to be suspicious and defective in many aspects. For example, (a) the investment consultant who affixed the signature in the

CRA should avoid issuing credit ratings for entities or obligations for which it does not have appropriate information, knowledge, and expertise. For example, where the complexity of a security or the

the success of public offering and listing (For example - “firm commitment offering” or “best efforts”). If the underwriter has a material relationship with the issuer, disclose the nature and terms of

issuer’s financial statements. For example, the information could include such items as: net sales or operating revenues; income (loss) from operations; income (loss) from continuing operations; net income

alternative assets. ▪ In case of the ARFP Fund without specifying its investment limit in equities, the risk level should be in accordance with the actual asset allocation of the fund. For example, if the fund

limit in equities or alternative assets, the risk level should be in accordance with the actual asset allocation of the fund. For example, if the fund invests mainly in equities, the risk spectrum should

the actual asset allocation of the CIS. For example, if the CIS invests mainly in equities, the risk spectrum should point toward level 6. In addition, if the CIS adjusts the investment proportion

to stimulate sales. For example, the HomePro Fair was rolled out to the provincial area in the second quarter and was well received. The introduction of new format, ‘HomePro S’, to expand the customer

to stimulate sales. For example, the HomePro Fair was rolled out to the provincial area in the second quarter and was well received. The introduction of new format, ‘HomePro S’, to expand the customer