taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
finance companies; (3) repaying debts on behalf of the mutual fund and paying fees, charges, compensation, including any other expenses incurred from the liquidation; (4) distributing to the unitholders
having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100
procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating securities to each
fair allocation procedures, such securities underwriter shall also proceed as follows: (a) prepare a name list of the top one hundred largest allocated persons, together with the reason for allocating
of disseminating or distributing documents or advertisements produced by the securities company. Clause 18. In cases where it appears to the Office that the securities company fails to comply with the
distributing documents or advertisements produced by the securities company. Clause 14. In cases where it appears to the Office that the securities company fails to comply with the advertising rules prescribed
company shall also comply as follows: (1) distributing an investment advisory service handbook which is prepared in accordance with Clause 16 to the customer prior to giving the first advice, however, there
trading execution, allocating of securities after trading to be in compliant with the predetermined plan, recording rationale for changes in investment allocation where it differs from the record of
) Specify other remunerations and describe their characteristics, for example, the right to buy shares or convertible securities for directors and executives (clarify the rules and procedures for allocating