rules across all types of personnel and compile existing rules into a single notification for ease-of-use. The compilation of rules into single notification elaborates all related guidelines of capital
significantly alter the returns and risks of the fund, for example, the calculation and announcement of asset value, unit value, subscription and redemption prices. The consultation paper can be
allowed to contact and give investment advice to clients. The SEC has emphasized to all intermediaries to strictly instruct their investment consultants to obtain and compile sufficient information for
clients An intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10
intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10) communications with
a client and another client; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your clients An intermediary shall compile [i
direct sales market and alter its marketing budget in line with revenues from sales and focused more on online channels. The company has the distribution costs for the first six month in total of 229.1
during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to
of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to assess suitability