together with evidentiary documentation in accordance with the procedures and methods specified in the Licensing Manual for the Public: (1) consisting of at least fifteen securities companies; (2) the group
appropriate – at least in the following matters. In case of multiple product lines or business groups, separate MD&A for each significant product line or business group as well: 4.1 Operation, financial
by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The information shall cover at least the
services is not monopolized to any one business operator or a group of business operators. In this regard, at the time of application, the said sale of products or provision of services is not more than one
category of mutual fund management. Chapter 2 Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its
procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment units of any scheme, should any of the
approval from the board of directors of the intermediary or a committee assigned by such board of directors. Clause 5 An intermediary shall establish at least the following operating systems to support its
. Clause 15. In advertising the fund, the securities company shall at least have statement or warning as follows: (1) a statement related to how investors can acquire additional information or prospectus; (2
clearly specifies that the estimated return does not include unitholders’ capital; (5) the details of the fund’s investment under (1)(a) shall be provided with at least the following particulars, which are
Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its business and provides services for a client