licensed to undertake securities business in the category of mutual fund management or private fund management which shows interest in subscribing for securities. Clause 14. Securities underwriter is

licensed to undertake securities business in the category of mutual fund management or private fund management which shows interest to subscribe for securities. Clause 14 A securities underwriter shall not

cause damage, or not having any behavior which indicates an ongoing financial problem, including having no reasonable ground to believe that there is a shortcoming or unsuitability encompassing business

) Performing work in a manner that indicates a lack of professional ethics or standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates

on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both

the advertisement indicates that the fund has been approved by the Office, it must also states that “the approval for establishment and management of the ….. (fund name)….. on …(date)… does not mean the

investors are recommended to study tax manual of long-term equity fund or retirement mutual fund, as the case may be; and (4) if the advertisement indicates that the fund has been approved by the Office, it

status may cause damage or having any circumstance which indicates an ongoing financial problem; (3) there is no reasonable grounds to believe that there is a defect or inappropriateness relating to the

in such a way that the screening and selection of a service provider would be done without any ground to believe that its financial position may cause damage or having any circumstance that indicates

range of investors; (4) having financial readiness without any reasonable ground to believe that the financial status may cause damage or any other circumstance indicates an ongoing financial problem; (5