, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
consultants and three branch managers of LBDU agent transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors should not
investment consultants and three branch managers of LBDU agent transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors
branch managers of LBDU agent transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors should not leave their fund
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading
? account to authorize securities transfers to the accounts of her related persons. In so doing, she filled in her own telephone number on the securities transfer form as the transaction confirmation number
transactions, and review the total balance in the confirmation document sent from the responsible asset management company. In any case, investors should not leave their fund passbooks and savings passbooks with