underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the

operation, or services of brokerage, dealing or underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any

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

) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11

characteristics as specified in the notification of the SEC. “derivatives exchange” means any center or network through which derivatives trading is provided in the ordinary course of business, whether by way of

less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification

individual customer; (d) the right to receive information relating to fundamental factors and the risk of the recommended securities, including investment strategy; (5) characteristics of general and specific

directors, managers or persons with power of management of the management company who manages the mutual fund under its supervision. (5) Not being involved in the management of any mutual fund in such a way

deemed that the intermediary has already complied with the requirements under this Notification; (2) order an intermediary to amend, act or omit to act in any way to comply with this Notification or the

financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may