Regulations Governing Securities Firms Article 5

A securities firm shall operate its business in a fair and reasonable manner. Factors including operating costs, transaction risks, reasonable profits, and a customer's overall contribution shall be taken into consideration in determining the fees to be collected. It is not permitted to use unreasonable fees to solicit or engage in business.The advertisements produced and broadcasted by a securities firm shall not be exaggerated or biased.The self-regulatory rules governing the production and broadcasting of advertisements by securities firms referred to in the preceding paragraph shall be prescribed by the Securities Association and submitted to the FSC for recordation.