Settlement 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
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