5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
of more than one product line or business group, disclose the income proportion of each in the table below, which shall include at least those contributing more than 10 percent of the total income in
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
the person under Clause 6 is eligible for subscription of such securities: (a) offer for sale of securities in total amount to the following persons and disclosed in the registration statement and
years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any), the number and type of the total
in the Notification of the Securities and Exchange Commission governing determination of definitions in notifications relating to issuance and offer for sale of securities; (2) “related person” means a
total shares with voting rights of the applicant. For the purpose of the first paragraph, a beneficial owner of shares means the beneficial owner of shares pursuant to the fourth paragraph of Section 25
fund is a retail fund, there should be a plan to offer extensively to the public e.g. distribution, advertisement promotion and budgeting. 2.2 In the case where the mutual fund is a non-retail fund
conduct approved by the board of directors or the executive board of directors of the securities company . Clause 5 A securities company shall establish measures for preventing an access to insider