procedures appropriate to the size and nature of the firm? 4 Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
Office prior to distribution: (1) advertisement related to estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to
repayment within one year as from the calculating date, only in the portion not exceeding the value of the collateral; (c) the total sum of the following liabilities: 1. payables with obligations to return
) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or reconsidering if the client insists to invest. After giving additional
equal to the amount of the license fee already paid by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License Clause 18 An applicant for
by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License _____________ Clause 18 An applicant for derivatives business license for the
shall perform the following conducts: (1) notifying the client ; (2) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or
advisory company. Clause 14. Prior to giving the first general advice, the investment advisory company shall notify the customer that securities investment may encounter both of the return and risk
such article or research paper in the underwritten securities, provided that such statement shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or research