must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together

(FA), save for offerings by financial institutions which are also SEC-approved FA. On information disclosure, notice calling a  shareholders? meeting must clearly state material information including

out derivatives positions  before reaching expiry dates and open new positions of next trading series. The client also allowed her to make trading decision; however, did not clearly specify details of

clearly provide information to the bondholders together with the opinions of the bondholder representative. The bondholders are, therefore, encouraged to thoroughly review the information and exercise

bondholders both in cases of approval and decline of approval for the above matters with respective supporting reasons, and clearly provide information to the bondholders together with the opinions of the

-approval of each option clearly to the bondholders, together with the reasons and opinions of the bondholders' representative. Furthermore, the SEC requests the bondholders to scrutinize the information in

matter, such appointment shall be made in writing or by clearly recorded resolution of the board of directors’ meeting. In this regard, the scope of authority of the appointee shall be clearly stated

information necessary for decision making.?The key points of change include the requirement for the fund title and the advertisement warning to clearly state that returns are not guaranteed and pre-maturity

nature, size, and complexity of the entity’s operations and its internal controls, instances were found where the documentations were obviously insufficient, e.g., no documentation of key control

allotment.  The opinion of board of directors must be clearly disclosed in the notice calling for shareholders? meeting to provide sufficient information for decision making of shareholders.  The revised