it is carried out in accordance with the rules prescribed under the law. The management company should also adequately disclose the related facts to client when requesting for consent to execute a
branch offices without an approval from the Office; (10) advertise its business, unless such advertisement is carried out in accordance with the rules, conditions and procedures as specified in the
of the return distribution or the reimbursement of capital to the unitholders; (b) fees or expenses collected from the unitholders; (c) any other cases approved by the SEC Office, provided that, in
nature of investors does not correspond to the scheme as approved by the Office. Once the approval has ceased, the management company shall fairly return payments for subscription for investment units to
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
Office prior to distribution: (1) advertisement related to estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to
should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out on behalf of the client , or [ii] providing inappropriate services to
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
the account of such customer, or which a derivatives business operator has received for or on behalf of a customer in return for delivery of goods under derivatives transaction for the account of a
has rendered improper benefit to a client differentiated from it should be, since the intermediary also receives the interest as a result of such service or of the outcome of a transaction carried out