performance of duty as financial advisor under this Notification; (3) “supervisor database” means the database prepared by the Office under the rules prescribed by this Notification to display the name list of
securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are provided solely through computers or electronic devices linked to
provided solely through computers or electronic devices linked to computer or electronic system of head office or another branch office. “oversea representative office” means a branch office of an
) oversea branch office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are provided solely through computers or electronic devices
examine and shall keep the said record for at least five years from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements
from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements or conceal the truth that should be disclosed which cause
account. Clause 29 In providing derivatives brokerage services, the derivatives broker shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive