in its practice of investment management. It should employ knowledge, ability and skills as a profession in management of investment under different situation, for instance: (1) Employment of personal
outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for undertaking its business, with the knowledge, skill and expertise necessary for
derivatives broker from securities or instrument issuer within appropriate time. Derivatives broker shall not declare its intention to employ the client’s right and benefits without client’s permission or
under the Notifications of Capital Market Supervisory Board concerning the outsourcing thereof. Clause 13 An intermediary shall employ personnel in capital market business in sufficient amount for
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 certified by a
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
conjunction with fund management. Such keeping shall be systematic and make searching easy; (c) retention period shall not be less than five years from the date the particulars or transactions of customers have
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
interest, whether directly or indirectly, of the person preparing such article or research paper in underwritten securities, provided that such statement shall be distinct, easy-to-read, and not smaller in
the case of compliance with the written approval by the authorised person, including consistently reviewing such privilege. [ M] · For the necessary case that employ the privilege user, there shall be