management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
prevention of conflicts of interest between the management company and the unitholders; (7) the money borrowing or creation of encumbrances on a fund ’s assets; (8) the liquidation of a fund . In the case
) Community / society development (8) Creation and distribution of innovations responsible to society, environment and stakeholders. Selection of subjects for implementation and disclosure : As businesses
policies in various areas such as product creation, product improvement, or production technology, and disclose the expenses incurred from such research and development over the past three years. In case of
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
is clear and easy to understand, including details on forecast and risks which may cause the return or the fund’s performance to be different from estimated; and 2. projection of rental income which is
and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit
done at any period. In any case, the Company shall do so with discretion to ensure that the prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the