to the following cases taking place at different branches: (1) In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases
complicated, and for the most part the existing laws do not cover all new ways of committing an offense in the capital market. Legal provisions applied to some cases are unclear and open to interpretation
shall be revised and updated at least every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is
every year. (2) in cases where a client gives notice of any change in information or a fact appears to an intermediary that any material information of clients is inaccurate or inexact, such information
following cases: (1) the public offering of newly issued bonds denominated in foreign currency shall be in accordance with the criteria set out under Part 2; (2) the private placement of newly issued bonds
comply with the governing regulations, describe rectifying measures and compliance guidelines as well. 1.4 Relationship with major shareholders’ business In cases where the Company or the group of
abet the others in connection with such behavior. Part 2 Effectiveness of the Possession of Prohibited Characteristics __________________ Clause 7. In cases where the applicant for approval of capital
assets (if any). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases