custody of assets of clients, a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under its custody are secured
and period of time. Clause 33 In the case of secured bonds, whether the collateral of such bonds is provided at the time of making an offer for sale of such bonds or thereafter, the collateral of such
well as the individual face value of each type of debt securities offered or listed. 3. Provide information about the form of the security, such as whether investors can obtain physical certificates or
. Clause 23 A mutual fund management company shall not commit by itself, connive at, or agree with another person to commit any act which causes a unitholder to obtain benefits as if a redemption payment was
investment period can be specified) (d) What are the factors that would have a significant impact on the investment of investors? (e) Is this a guaranteed mutual fund, a guaranteed capital and return mutual
significant changes in the capitalization and indebtedness and a statement of capitalization and indebtedness that provides current information about the issuer’s guaranteed/unguaranteed and secured/unsecured
bondholders have the right to redeem such bonds prior to the dissolution of the company under the specific conditions and period of time. Clause 35 In the case of secured bonds, whether the collateral of such
securities company to obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an
estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to obtain prior approval in accordance with Clause 19. In cases where