irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
Business Operations in relation to Shareholders’ Meetings. 2 A person designated by the Board of Directors to proceed the registration of the amendments to the Articles of Association with the Department of
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
receivership, being an insolvent, an incompetent or a quasi-incompetent person; 3 (b) having been sentenced to imprisonment by the court’s final judgment as a result of guilty in market abuses of securities or
) dated 14 December 2016 . Clause 2 In this Notification: “ derivatives Broker ” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the
) dated 14 December 2016. Clause 2 In this Notification: “derivatives Broker” means the person obtaining the derivatives business license in the category of derivatives brokerage, but not including the