editing or adding any statement that may be misleading. The source of information and date of dissemination of such copied or referred statement shall be clearly specified. Clause 8. The advertisement

clearly be identified that they are forged; (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose occupation or business is classified by

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

clearly specified in the scheme by the mutual fund management company . (2) in case of the preparation of the financial statements for a mutual fund that is terminated within fifteen months as from the

which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract; (b) a specified

executive to be the accountable person in complying with Clause10 (1) and (2); 2. In complying with Clause 10 (2), the intermediary should clearly segregate duties of operations relating to information

except for reselling or transferring made under the requirements of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without

controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a

law or investing in promissory note issued by a finance company or the TSFC Securities Limited, or other investment specified by the Office, which is clearly defined in such bank deposits or promissory

use to provide service and store document; (2) arrange to have a notice board, which can clearly be seen, indicating the nature of services to be provided on the area under (1). Clause 9. The branch