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

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

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

transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for

Paragraph 1 shall include any business having any of the following chrematistics: (a) distributing products or providing services to the general public, either directly or indirectly, through other