authorized person. Clause 10. A securities company shall not utilize the client’s assets for the benefits of other clients, other persons or for itself unless it receives an order or consent of the client in
; “securities investment analysis” means an analysis on information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly about the value or an appropriate
any other securities; “securities investment analysis”4 means an analysis on information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly
information in connection with securities in order to make an advise or to disclosure such analysis directly or indirectly about the value or an appropriate of investment in such securities; 1 Amended by
or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the SEC office may order such person to rectify, do or refrain from doing any act for
to comply with this notification or its guidelines specified for implementation in accordance with this notification or improperly conducts itself, the SEC office may order such person to rectify, do
for implementation in accordance with this notification or improperly conducts itself, the SEC office may order such person to rectify, do or refrain from doing any act for implementation in accordance
economy or the national security or peace and order or the morality of the public, a license for establishment shall be issued and the association related to securities business shall be registered. Clause