person’s names, or avoids using his own name to open an account or process the transaction; (2) the client insists to open several accounts of the same type for no apparent reason, which might indicate an
executive of the company; [ specify director or executive’s full name ] 3. Where it is apparent to the SEC Office that I have characteristics indicating untrustworthiness, the SEC Office may de-list my name
custodian must not expand its business operation, during the period which the custodian can not maintain its financial position as specified under Clause 4, until such custodian can regain its financial
supervisory rules in effect at the time or to ensure the interest of investor protection, if any of the following facts becomes apparent, the SEC Office shall have the power to order the mutual fund management
cases of a commissioner, provided that the resolution and the order shall state clear reason therefor. If the office of the Chairman or a commissioner is vacated prior to expiration of the term of office
communication with a client . In addition, the intermediary shall communicate at the right time, with clear and reliable information, and without misleading information. Clause 29 In case an intermediary has
storage. Clause 28 An intermediary shall arrange the appropriate channel and monitoring system for communication with a client . In addition, the intermediary shall communicate at the right time, with clear
notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
) 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
in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and