disclose the fund performance, as well as other information relating to the condition of such fund at each particular period, i.e., details of investment, financial position, expenses, and opinion of the
measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious transaction or other reporting made to anti-money laundering
transactions. Clause 21. Securities company shall establish a proper measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious
/disclose information concerning suspicious transaction or other reporting made to anti-money laundering authorities to customers or unrelated persons. (Unofficial Translation) - 9 - Chapter 4 Record Keeping
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other
17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other persons’ use. 6 Added
Clause 23, and such risks have not been disclosed by the derivatives broker , the derivatives broker shall disclose such specific risks to the client together with any material information which may affect
shall disclose such specific risks to the client together with any material information which may affect derivatives trading prior to the commencing of derivatives trading for that client. The provision