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Article NO. Content

Title:

Regulations Governing Offshore Structured Products  CH

Amended Date: 2017.03.03 
Article 24 When making a recommendation, or providing information and marketing materials on an offshore structured product, an issuer, master agent, trustee, or sub-distributor shall not engage in any of the following behaviors :<br/>1. Using the fact of an offshore structured product having received the approval of the trade association as substantiation of any matter in connection with the application or in a statement or recommendation guaranteeing the value of the offshore structured product.<br/>2. Causing others to erroneously believe that the principal or profitability is guaranteed.<br/>3. Using a name for the offshore structured product that might mislead customers.<br/>4. Offering gifts or other benefits as an inducement to solicit the purchase of an offshore structured product.<br/>5. Making exaggerated publicity claims about past performance or using advertising to attack competitors.<br/>6. Engaging in any false or deceptive conduct or other conduct obviously inconsistent with facts or intended to mislead others.<br/>7. Including content that contravenes laws or regulations, the contract, or information contained in the prospectus.<br/>8. Making predictions of future performance of the offshore structured product.<br/>9. Violating the self-regulatory rules for advertisement and promotional activities set forth by the trade association of the trustee or sub-distributor.<br/>10. Any other act prejudicial to the rights or interests of investors.<br/>No general advertisement or public solicitation is allowed for offshore structured products that are permitted for investment by professional investors only.