investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
, more user-friendly format for informing investors of key features, investment policies and associated risks, while giving investment consultants a more convenient tool for giving advice and selling units
companies to disclose their procedural guidelines for informing the unitholders and related parties of their right to have their investment transferred to RMF or LTF of their choice and to receive a waiver of
SEC has received information that Ronghui has invited retail investors to join certain investment by informing that their money will reinvest in real estate projects or investment projects of
and common guidelines for notifying facts related to acceptance of assets which are rights of claim and the change of agent to collect and receive payments of debt. For further details of this
investors correctly and completely and without sufficiently notifying or giving information that was important and relevant to investors’ decision making, in contravention of the Notification concerning
rules, which contains key points as follows: (1) Revoking the requirement for notifying details of each advertisement and the associated expenses to the SEC; (2) Advertisements need to be considered
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
her client to buy derivative warrant without informing the client of specific risk of securities, the securities? last trading date and maturity date. {A} admitted that she advised the client to buy