, should there be any customer’s complaint relating to the giving of advice or placing of orders whose proceeding has not been completed within such period, the record of such advice or order shall be kept
derivatives businesses 0 0 - - 0 0 - - Unlicensed digital asset businesses 0 0 1 2 0 0 1 2 Director or person responsible for business operator fraud (including aider and abettor) 0 0 - - 0 0 - - Giving false
for clients; (b) providing information regarding capital market products or services for the assigned personnel under (a) to study and acquire the understanding of the details thereof before presenting
) -2- “mutual fund rating”2 means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
Office to be the secretary of the Audit Committee. SECTION 14/2 The Audit Committee shall have the following powers and duties: (1) re-examining and giving opinion to the SEC concerning the internal
/2249pe_r.pdf 8500pe_r.pdf investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly
(2) application for approval of the characteristics of the depositary receipts presenting the information of the foreign securities intended to be accepted for deposit in the issuance of such