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
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
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
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
out Transaction Confirmation of Clients _______________________ Clause 25 After a client has made a decision for investment or entering into a transaction, an intermediary shall report or inform the
ensure that no securities trading transactions of clients shall be revised in violation of or inconsistent with the specified methods and procedures. Chapter 5 Sending out Transaction Confirmation of