Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to
describe their characteristics, for example, the right to buy shares or convertible securities for directors and executives (clarify the rules and procedures for allocating such securities and the right
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
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
intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the securities company, when requested
) 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
) Specify other remunerations and describe their characteristics, for example, the right to buy shares or convertible securities for directors and executives (clarify the rules and procedures for allocating
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