personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage
which contains at least material information in the following matters: (1) duties and responsibilities of a service provider which include one of the following details: (a) liability to the intermediary
: “intermediary” means a securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “affiliated
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
: (a) liability to the intermediary as a result of the service provider acting or omitting to act intentionally or negligently; (b) measures and arrangements for business continuity of the service
: 8 (a) liability to the intermediary as a result of the service provider acting or omitting to act intentionally or negligently; (b) measures and arrangements for business continuity of the service
intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage to the client
limit its liability for damage to the client caused by breaching the rules under this Notification by the intermediary, or directors, executives or other personnel of the intermediary. 6 Chapter 3