business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3) receiving or being going to receive reward or other benefit, whether in form

the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

; (2) entering into transactions by exploiting information, relevant to its business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3

intermediary shall arrange a process ensuring that the client is aware of risks relating to trading derivatives by at least preparing risk disclosure statement which contains the minimum of particulars and

the fund ; (2) the analysis and feasibility study on the establishment of the fund , including due diligence on the infrastructure asset to be acquired, and the disclosure of accurate and sufficient

SEC Office has conducted a review and acknowledged that such derivatives broker has a qualified personnel sufficiently to provide derivatives services relating to such precious metal derivatives. A

precious metal derivatives besides gold derivatives only when the SEC Office has conducted a review and acknowledged that such derivatives broker has qualified personnel sufficiently to provide derivatives

) Letter from the commercial bank, securities business operator or derivatives business operator which has acknowledged the rules on internal control and prevention of conflicts of interest and duty in

Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and

company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give