; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this

services to the client , as specified in details in Chapter 5; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified

opportunities or constraints – for example, obtaining a business license, concession or investment promotion – and clarify the respective benefits thereof as well. In the event that the Company or a subsidiary

or right of a person arising from derivatives trading. “close out a derivatives position” means to discharge an obligation or terminate rights under derivatives an equal and opposite trade which

Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) and Section

and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) of the Securities and Exchange

cover the following general matters: · ensure firm’s commercial considerations do not override the quality of work performed; · The firm’s performance evaluations, compensation, and promotion (including

fund is a retail fund, there should be a plan to offer extensively to the public e.g. distribution, advertisement promotion and budgeting. 2.2 In the case where the mutual fund is a non-retail fund

derivatives position” means to discharge an obligation or terminate rights under derivatives an equal and opposite trade which results in an offsetting of the position or by any other means under the rules of a

during the preceding year including the factors conducive to business opportunities or constraints – for example, acquisition of business license, concession or investment promotion – and clarify the