Committee issues an order to impose fines on such person, or from the date when a decision of an agency having the power to supervise or consider such behaviors is issued. Factors which may be taken into
decision for proprietary trading account to perform such duties; (2) Provide service for client relating to trading of government bond or bond that principal and interest are guaranteed by the Ministry of
company appoint a person who make a decision for proprietary trading account to perform such duties; (2) Provide service for client relating to trading of government bond or bond that principal and interest
Procedures for Dealing of Debt Securities (No. 9) dated 28 February 2005. (Translation) -6- (1) Provide service for the institutional client where the securities company appoint a person who make a decision
management company must disclose or cause to be disclosed adequately such information necessary for making a decision to invest in investment units or to enter into a private fund management contract with the
or to become a counterparty to a private fund management contract, the management company must disclose or cause to be disclosed adequately such information necessary for making a decision to invest in
contract, the management company must disclose or cause to be disclosed adequately such information necessary for making a decision to invest in investment units or to enter into a private fund management
interest of investors. (3) disclose or provide important and relevant information sufficient for investors’ decision making; (4) keep investors’ confidentiality; (5) carefully perform duties to avoid
, care, prudence and in the best interest of investors. (3) disclose or provide important and relevant information sufficient for investors’ decision making; (4) keep investors’ confidentiality; (5