case where the requirements specify that in an offer for sale of any types of securities, issuing company shall distribute a summarized substance of instrument (fact sheet), securities underwriter shall
the appointment of independent director for subject securities company temporarily or permanently as prescribe in the first paragraph. In such instance, the Office may specify conditions for the
, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable
) (a) securities company shall clearly specify in such deposit account or investment that the undertaking by securities company is for client's benefit. In the case where the securities company deposits
that can clearly identify without suspicion that such other assets belong to the client. In proceeding to comply with Paragraph 1(1) (a) securities company shall clearly specify in such deposit account
and can accept lower returns than investing in equities. ▪ Investors who seek liquidity from redemption with settlement period within T+[..] [specify the date that investors will receive redemption
T+[..] [specify the date that investors will receive redemption payment] ▪ Investors who seek stable returns or capital protection. ▪ Investors who intend to invest solely in fixed income securities
settlement period within T+[..] [specify the date investors will receive redemption payment] ▪ Investors who seek stable returns or capital protection. ▪ Investors who intend to invest solely in fixed income