material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the company’s business operation; (8
update คร้ังก่อนมีผลใชบ้งัคบั 3) แบบ 69 – CIS material update ยื่นภายใน 10 วนัท าการนับแต่วนัท่ีมีการเปล่ียนแปลงข้อมูลอย่างมี นยัส าคญั โดยมิใหน้บัรวมวนัหยดุท าการในฮ่องกง - ภาษาท่ีใชใ้นการยืน่ขอ้มูล หรือ
, date of the incident……….. Details of such incident ……… …………………………………………………………………………… Considered by …………..……………..…. (attachment) (if any) O No (8) Intentionally made false statements of material facts or
material facts or conceal material facts which should have been stated in any document to be disclosed for application for approval of major shareholders of the securities companies or other document
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
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
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