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

interest for such client ; (b) being able to exhaustively prevent illicit exploitation of information or opportunity as a result of the intermediary ’s services; (c) separating units and personnel of such

client in each category is treated fairly and with the best interest for such client ; (b) being able to exhaustively prevent illicit exploitation of information or opportunity as a result of the