Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of operation before and after
in the notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures
details in compliance with the rules under Clause 7 or Clause 8, as the case may be. Clause 7 In obtaining client information, an intermediary shall notify each client that the true, accurate, updated and
the rules under Clause 7 or Clause 8, as the case may be. Clause 7 In obtaining client information, an intermediary shall notify each client that the true, accurate, updated and complete information
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
clients An intermediary shall pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients
due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients’ relationships of trust An intermediary
Proceeds: the issuer must demonstrate the tracking of the managed proceeds for the designated project and credit the proceeds into a sub-account, in clear separation from the issuer’s other accounts; 2.4
following information: 1. key assumption applied which is clear and easy to understand, including details on forecast and risks which may cause the return or the fund’s performance to be different from