debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of
initiatives in 2012, such as ?Pride of the Province Project? that focuses on provincial businesses.(2) Building a strong foundation for sustainable development Priorities will cover development of businesses
refrain from taking certain actions. Examples of the covenants include a. prohibition on the payment of dividends if certain conditions are met in order to prevent depletion of the issuer’s funds that are
calculation will reflect position risk of assets and cover related business transactions, in line with international standards and the changing market conditions to serve the ongoing business operation and to
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least include, internal control
guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well