securities and the amount of money paid for securities which have been purchased by the underwriter as well. The report as referred to in the first paragraph shall be made in accordance with the rules and
advertisement shall not imply or guarantee returns earned from investment in capital market products , unless the SEC Office has rendered a waiver or it is appropriate reference of the past performance or
advertisement shall not imply or guarantee returns earned from investment in capital market products , unless the SEC Office has rendered a waiver or it is appropriate reference of the past performance or
that was assessed under the FSAP and earned at least “Broadly Implemented” assessment results in the part relating auditors? Yes No 4.5 Have you ever been inspected by the audit oversight authority? Yes
deducted by total liabilities . “ liquid assets ” means total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase agreement with accrued interest; (3
) cash and bank deposits; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bills of exchange issued by financial institutions under the law on
assets ” means total sum of the following assets: (a) cash and bank deposit; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bill of exchange
disclosed, the holders of the securities who have purchased the securities within one year from the effective date of the Registration Statement are entitled to claim damages from the issuer or the owner of
capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase
services (e.g. in terms of fees earned and/or potential embarrassment where mistakes are made)? 4 How are client relationships managed – are there separate client relationship partners or does the Registered