) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and
dated April 9, 2015. 12.3 The SEC Office begins the period of time for considering the application for approval from the date on which the SEC official has received the required documents in full
established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Documents on establishment of foreign ETF: (a) Memorandum of Association and the Articles of Association, or the
of interest and other encumbrance. Where there is a disclosure of the investment portfolio, it should be disclosed to all investor equally; (3) Using of adequate and reliable information, documents or
reliable information, documents or referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and
intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
follows: (1) in cases where a securities company appoints a new person as director or manager, or in other cases than (2), the securities company shall submit to the SEC Office the following documents which