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
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of over-allotment shares” means a securities underwriter who is obliged to provide over-allotment shares
cases where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of overallotment shares” means a securities underwriter who is obliged to provide overallotment
business in the category of derivatives broker or derivatives dealer; “ investment limit ” means the investment limit of capital market products denominated in foreign currency which is allocated by the SEC
than the report as specified under the first paragraph, in case the offeror has seperated some shares specifically allocated to the patron , the offeror shall prepare a name list of 200 persons receiving
insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology
discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC