on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
communication with a client . In addition, the intermediary shall communicate at the right time, with clear and reliable information, and without misleading information. Clause 29 In case an intermediary has
) operating system for communications and services shall comply with the regulations under Chapter 1/1; (2) compilation and assessment of client information shall comply with the regulations under Chapter 2; (3
and reliable information, and without misleading information. Clause 29 In case an intermediary has other businesses apart from services relating to investment in and transaction of capital market
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
, following the Office’s guideline which will be notified in advance. Clause 11. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information
consideration for approval of establishment and management. Clause 4. The advertisement shall not contain the followings: (1) information that is false, exaggerating or misleading; (2) information and estimated
is correct, accurate, and complete in all respects. I/We also certify further that the said documents neither contain any false or misleading statement in materiality nor omission of any material
the said documents neither contain any false or misleading statement in materiality nor omission of any material statement that ought to be declared. In this regard, as evidence that each and every page
documents contain the information which is correct, accurate, and complete in all respects. I/We also certify further that the said documents neither contain any false or misleading statement in materiality