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
cross-border ___________________________________ Total ___________________________________ As at (date) __________________________ Part C: Distribution of ARFP Passport Fund and CIS Operator’s Local
encumbrance of others to the borrower, and the borrower has to pledge asset as collateral to the lender in order to guarantee the borrower’s performance of obligation. Additionally, the lender has to return the
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the
pledge asset as collateral to the lender in order to guarantee the borrower’s performance of obligation. Additionally, the lender has to return the collateral to the borrower when the borrower returns the
marketing policies of the major products or services during the preceding year by way of, for example, general comparison with competitors, customers’ characteristics, target customers, sales and distribution
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to
opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy
following regulations: Clause 1 This Notification shall come into force as from 1 April 2014 unless: (1) Clause 42(8) relating to comparative results of mutual fund management’s performance shall come into