the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to

customer and obtain the customer’s signature of acknowledgment of the risks which may arise from a short sale; (2) arrange for the customer to short sell through a margin account and call for collateral

demonstrating the acknowledgment of the client with respect of the caution about risks arising from such investment or transaction. While the client has not confirmed on the investment or entering into the

administration in the manner of deception, defraudation or corruption or having been settled the case with a fine due to the commission of such offence: O yes (please specify in detail) O the final judgement of

(please specify) For example, date of being settled the case with a fine………....………… By office ……………………………………….……….…….… In offence relating to .…………………………………………… Under the law…………………………… (attachment) (if any

first paragraph shall not be applicable to the case that Stock Exchange or the derivatives exchange imposes penalty of fine on them. “ member ” under the first paragraph means member of the Stock Exchange

that Stock Exchange or the derivatives exchange imposes penalty of fine on them. “ member ” under Paragraph 1 means a member of the Stock Exchange or the derivatives exchange , as the case may by. Clause