securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
guidelines specified by the intermediary in compliance with the aforesaid rules. In this regard, such measures shall at least ensure that the service provider shall not have any characteristic which may cause
: CPN Retail Growth Leasehold REIT (“CPNREIT”) Relationship: The Company, a unitholder of CPNREIT, holds 26.7% of units. 3. The general characteristic of the transaction 1) Type of transaction: The
shares with voting right; (15) a foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis; “retail client” means a client other than an institutional client
exceeding seventy-five per cent of the shares with voting right; (15) a foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis; “retail client” means a client
foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the