offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued
company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016
information shall cover at least the following matters: 1.1 Vision, objectives, goals and strategies Provide as much information as deemed appropriate on the vision, objectives, goals and business strategies of
distribution to the customer, plain language and updated information shall be used and the date of making handbook shall be specified, no advertisement shall be permitted, and at least shall contain the
more of the following methods: (a) assigning an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
amount of money for each day shall not be less than the total amount of net balance calculated at the end of prior working day or at the end of present working day from cash account and margin account of
Clause 2 have details as provided in appendix at the end of this Notification of Practice Guidelines, whereby such details are as the following matters: (1) Division 1 Objectives of practice guidelines for
held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the