.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of

fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its

Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes ; (3) investment units of a mutual fund whose returns calculation is made in a complicated way (complex

explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on

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

paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause 12. During the period of thirty days from the offering

size than the regular font used in such article or research paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause

company, clarify why such practice is employed instead of direct shareholding by the Company; (3) In case of several connected transactions, each with little value, grouping such transactions as seen

Assessment Project. The information in this matter may be disclosed herein or under other topics as seen appropriate such as the Management Structure, Internal Control and Risk Management, etc. 12. Corporate

shall arrange any statement, caution or information for an advertisement clearly heard or obviously seen, and suitable for presented form. In addition, the intermediary shall attend the importance of