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
management company’s responsibility, or intentionally making false statements in any material aspects or concealing material facts which should be declared in the application for an approval to act as a mutual
in any material aspects or concealing material facts which should be declared in the application for an approval to act as a mutual fund manager; (16) Intentionally neglecting to take action in
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