investment. Clause 9. The advertisement related to estimated return or auto- redemption rate shall comply with the following conditions: (1) the advertisement shall be made for any of the following funds: (a
- redemption rate shall comply with the following conditions: (1) the advertisement shall be made for any of the following funds: (a) a fund which clearly states that it shall hold the assets in which it has
types of investment. Clause 9. The advertisement related to estimated return or auto-redemption rate shall comply with the following conditions: (1) the advertisement shall be made for any of the
considered a Class 3 comply with the mentioned Notification on Acquisition or Disposal of Assets. However , even value of the transaction size is less than 15% which no need to disclose but the Company would
receive such information. Chapter 4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification
4 Authorities and Penalties _______________ Clause 14 In case it appears to the SEC Office that a derivatives dealer has breached or failed to comply with this Notification, or code of conduct
received a complete set of evidentiary documentation in accordance with the Licensing Manual for the Public; (2) for cases other than that in (1), the applicant shall comply within fifteen days from the date
Office is not required to comply with the provisions under Clause 3 and Clause 4. However, where such securities company has been, and continues to operate as, the derivatives broker , it shall not be
. Clause 5 A securities company which ceases the operation of the securities business of all kinds and has given a written notice of such intention to the SEC Office is not required to comply with the