intermediary shall identify clearly 7 that such branch will provide services through online only; (2) prepare readiness of sufficient personnel and other resources for operation of a branch office, including
classification of units (if any); (3) a statement indicating whether or not the units are redeemable and if so, the rights, conditions and procedure of which shall be clearly specified; (4) the amount of the
consultation by incorporating in-depth information on each client in order to specifically plan and provide investment consultation on capital market product in line with the risk tolerence and the investment
order to specifically plan and provide investment consultation on capital market product in line with the risk tolerence and the investment objective of each client. “investment analyst” means a person
raising capital explicitly in advance and demonstrates clearly that the REIT does not have any objective to raise capital of the REIT other than what has already been specified [in the trust instrument
A CRA should ensure that sufficient employees and financial resources are allocated to monitoring and updating all its credit ratings. Except for a credit rating that clearly indicates it does not
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19 The shareholding structure of an applicant, its subsidiary company and its associated company shall: (1) explicitly reflect both controlling power and interest of the shareholders; (2) have no
consultation on capital market product having high-risk or complex characteristics only specifically to investment unit and debt instrument having high-risk or complex characteristics ; (c) complex instrument