redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction Confirmation of Clients
approval is required by the regulations); (8) a confirmation letter of the issuer’s acknowledgement of the duties and responsibilities after the offer for sale of securities; (9) a confirmation letter of the
confirmation documents to make sure that they are truly issued by the banks or the asset management companies in charge, and to update their fund books (if any) in the following business day to prevent damage
, 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
, 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
, 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
the client. They admitted that {A} contacted the client and made trading order confirmation via phone by herself. {B} and {C} neither met or contacted the client nor received or confirmed any 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
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