apparently inconsistent with the client's financial records and no clear justification is given by the client concerning the source of fund; (6) transactions that are not economically viable e.g. client

amount in terms of size/volume is transacted, which is apparently inconsistent with the client's financial records and no clear justification is given by the client concerning the source of fund; (6

; (Unofficial Translation) - 8 - (5) significant amount in terms of size/volume is transacted, which is apparently inconsistent with the client's financial records and no clear justification is given by the

, and sees an urgency in providing regulatory clarification on ICO to both fundraisers and investors. For Securities All types of ICOs ICOs that fall under the SEC’s purview. 3 fundraisers, a clear policy

each type of investment unit, and, in cases where different types of investment units have different policies about returns or the priority return, clear details about the nature and conditions of

information to the shareholders to consider the acquisition of shares in this transaction The company must disclose important information related to the said transaction and the said information must be clear

. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking

the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4

development of products to meet with customers’ expectations. However, under the current situation, and without a clear signal from the Government with regards to the easing of the restriction period, the

to trading, the Client should obtain from his/her derivatives agent clear explanation of all fees and other charges for which it will be liable relating to trading, settlement or exercise of options