the government or securities regulator. “market maker” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net
company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. (UNOFFICIAL TRANSLATION) 3 Clause 5. To advertise, in any
Exchange Commission Remark: The reason for issuing this Notification is that the securities company has flexibility in operating its business, able to increase its income and expand its customer, and to
authorized to make decisions on company’s business operation on behalf of the board of directors; (5) “Department director” means any person who is responsible for the internal operation of a department in the
reason for issuing this Notification is to ensure that the advertisement concerning investment units’ sale promotion and providing of services related to fund management is appropriate in terms of content
executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided
directors, managers or persons with power of management who are responsible for the line of work relating to being fund supervisor or partnerships under (1) or (2) or the company under (3) that hold shares in
is also true in Asia. Steps need to be taken to ensure that they do their jobs professionally, and manage and disclose, or take steps to avoid, conflicts of interest. Although auditors work for issuers