company shall regard those conditions both or all sides of counterparties; (2) not be purchasing agreement of investment units between an issuing mutual fund and another purchasing mutual fund which both of

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account

member is able to select investment policy properly. Clause 31 For the purpose of compilation and assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s

company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a

” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling

quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor

Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock

an equity of the balance interest of the invested business, such as share capital, investment units of mutual fund, share capital warrant and share capital purchasing right etc.. The company shall

who makes a dispute resolution, except for the case under Clause 15. The parties shall select the arbitrator from the arbitrator list of the Office by the following methods: (1) the claimant shall