clients An intermediary shall pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients
due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients’ relationships of trust An intermediary
, following the Office’s guideline which will be notified in advance. Clause 11. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information
contain the followings: (1) information that is false, exaggerating or misleading; (2) information and estimated return, unless otherwise approved by the Office pursuant to Chapter 2; (3) information that
appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 11. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading
funds. "Such aforesaid research results have raised possible issues of unclear information disclosure, misleading advertising messages and fee collection. The SEC therefore reinforces such matters on
that there is or was [I] a demeanor of [i] disclosing or distributing information or document which is false and may be misleading or [ii] concealing material facts which should be informed clearly and
distributing information or document which is false and may be misleading or [ii] concealing material facts which should be informed clearly and may have an impact on decision making of investors, shareholders
misleading information, material omissions and insider trading. Minority shareholders should be protected from abusive actions by, or in the interest of, controlling shareholders acting either directly or
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that