; (6) “inside information” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired during the course of
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business: (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
company shall keep the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in
other than an institutional client; “inside information” means the significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities
) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel (Chinese Wall
management system; (7) Being able to show that it has established effective policy and measures for prevention of conflicts of interest, improper access to inside information among work units and personnel
access of inside information by unauthorized personnel [ii] internal control and [iii] risk management of undertaking trust business, including measure for controlling and monitoring operation of its
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various