and completeness of information contained in the registration statement. If the registration statement contains any false statement or omits to state any material information which should have been
registration statement contains any false statement or omits to state any material information which should have been disclosed, the unitholders shall be entitled to claim damages from the CIS operator pursuant
prove that by my position, status or duty, I should not have learned of the false information or statement or concealment of any material fact which should have been expressly disclosed; and (3) Any
contained in the Registration Statement is vested in the issuer. If the Registration Statement contains any false statement or particulars or omits to state any material information which should have been
consideration for approval of establishment and management. Clause 4. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information and estimated
mutual fund under (1)(a), a warning statement: “in case that the mutual fund is unable to make the investment as prescribed due to changes in the market’s condition, unitholders may not receive the return
operating results and the financial condition are different from the prediction. If the financial prediction is based on unreasonable hypothesis, the annual registration statement may be liable to be false or
client’s derivatives trading is inappropriate or may contravene the law on derivatives ; (c) the client fails to notify, provide information or prepare clarification under subclause (1), or provides false or
shall keep the records of advice and trading order in accordance with the rule specified in the notification of the SEC Office. Clause 15. Derivatives broker shall not advertise any statement that may