Office; and (4) Refrain from violating the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any
the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any aspects which would affect the
material information that may affect the derivatives trading to the customer prior to the commencement of derivatives trading. The provision of the second paragraph of Clause 21 shall apply to the disclosure
21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any material information that may affect the derivatives trading to the customer prior
of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must
) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1), the securities company must gather information on name, last
identity using reliable sources of information (client verification) (3) record information gathered as well as opinions made under the KYC/CDD process. In identifying the client’s true identity under (1
party receives the copy of the dispute resolution. If the arbitrator is of opinion that such matter is material and a resolution on such matter has not been made, the arbitrator shall additionally make a
the date on which such party receives the copy of the dispute resolution. If the arbitrator is of opinion that such matter is material and a resolution on such matter has not been made, the arbitrator