securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities

the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and

case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their

channels. In case of export, specify the domestic/export sales ratio, the export markets or the group of export markets for such major products or services; (b) Describe the industry competition during the

, directly or indirectly, more than fifty percent of the issued shares of, or more than fifty percent of the partnership interest in, such juristic person; (c) private fund of persons in the relationship under

services of intermediary , including any fund , unit holder and member of provident fund. “ fund ” means a mutual fund or a private fund. “ capital market products ” means any securities and derivatives

, sales and distribution channels. In case of export, specify the domestic/export sales ratio, the markets or the groups of export markets for such major products or services; (b) Describe the industry

derivatives intermediary. “ client ” means a person who uses services of intermediary , including any fund , unit holder and member of provident fund. “ fund ” means a mutual fund or a private fund. “ capital