considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information for the service user to choose services or make investment decisions accurately; (b) protection of
refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort
mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort information, or give false information to counter trader. 8 Amended by Notification
conditions agreed provided that the securities company clearly explain the ground of refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details
of ETF units by means of purchasing such units from foreign exchange for making delivery; Clause 7 In order to have sufficient ETF unit or underlying share of ETF for delivering according to short
case of short selling of ETF units by means of purchasing such units from foreign exchange for making delivery; Clause 7 In order to have sufficient ETF unit or underlying share of ETF for delivering
delivery; Clause 7 In order to have sufficient ETF unit or underlying share of ETF for delivering according to short selling within settlement period specified by the clearing house or within performance
conditions to be waived; (c) The company has provided other sufficient measures in lieu of its compliance with rules or conditions to be waived. Chapter 1 Offer for Sale of Newly Issued Warrants and Underlying
goods and rendering of services 2,399,514 94% 2,021,669 96% 1,809,052 96% 752,534 92% Investment income 28,810 1% 22,604 1% 8,711 0% 2,362 0% Gain on disposal of investments 61,521 2% - 0% - 0% - 0% Other
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under