companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the

, some brokers issue margin loans at a high proportion compared to their financial position, while many other brokers concentrate their margin loans in a limited number of clients and collateral

remained in many aspects. The findings demonstrated that firm leaders should strictly require their staff concentrate on the implementation of the quality control policies effectively and consistently across

companies? research reports, however, cover only ?in-the-spotlight? large cap listed firms. In addition, investment behaviors among certain investors have shifted to concentrate in high P/E ratio and cash

companies? research reports, however, cover only ?in-the-spotlight? large cap listed firms. In addition, investment behaviors among certain investors have shifted to concentrate in high P/E ratio and cash

neither account owner nor account owner's appointee; failing to keep confidential client's information; and failing to keep records of investment advice and clients' trade order instructions; in violation

Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a

the SEC Office for updating the information at all times. 3 . We acknowledge and agree that we have the duty to oversee and keep confidential the Username and the Password of Company Account which we

duty to oversee and keep confidential the Username and the Password of the SEC Account which we have received from the SEC Office without disclosing and allowing them to be used by any unauthorized

We acknowledge and agree that we have the duty to oversee and keep confidential the Username and the Password of the SEC Account which we have received from the SEC Office without disclosing and