disclose the fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the
disclose the fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the
it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a
it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a
which is different from that specified in the risk disclosure statement in Clause 21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any
21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any material information that may affect the derivatives trading to the customer prior
21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any material information that may affect the derivatives trading to the customer prior
measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious transaction or other reporting made to anti-money laundering
transactions. Clause 21. Securities company shall establish a proper measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious
/disclose information concerning suspicious transaction or other reporting made to anti-money laundering authorities to customers or unrelated persons. (Unofficial Translation) - 9 - Chapter 4 Record Keeping