quorum of at least twenty-five unitholders or half of the total number of the unitholders holding collectively at least one third of the mutual fund’s total units sold, in case of seeking a resolution by
whose approval has been terminated under the third paragraph hereof, attends any fundamental knowledge training courses as specified in Clause 3(5) and applies for a renewal with the Office within six
third paragraph hereof, attends any fundamental knowledge training courses as specified in Clause 3(5) and applies for a renewal with the Office within six months from the date when such approval has been
information, or give false information to counter trader. Clause 12. Securities company shall not purchase or sell any securities by using inside information which is likely to have an advantage against third
not purchase or sell any securities by using inside information which is likely to have an advantage against third person. And shall not disclose inside information for any personal gain. Clause 13
inside information which is likely to have an advantage against third person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on
through banks, or client repeatedly purchases cashier cheques for settlement; (10) unexplained settlements or transfers of assets in large amount from or to accounts of third parties, who are not ultimate
of third parties, who are not ultimate beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not cooperate in producing identification or other
transfers of assets in large amount from or to accounts of third parties, who are not ultimate beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not