intermediary and reveal the report in the annual compliance report; (5)1 in case the outsourced function is related to derivatives investment, the intermediary shall outsource such function to a derivatives
. As an auditor continually conducting the audit of financial statements for the company may become familiar and overlook significant issues. Auditor's duty to expose circumstance that is deemed
level of transparency, requiring that the post issuance verification of the issuer’s performance against these targets be made publicly available. This can consequently expose the issuer’s strategy, goal
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
) to clients; (3) visibly reveal the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction
shall be opened for service at least throughout the working hours of the intermediary. (2) promote or dessiminate information on the arrangement under subclause (1) to clients; (3) visibly reveal the