personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in

1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this

services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action

be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action. Clause 8 An intermediary shall

person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after

. Upon receiving or deemed to have received the approval for appointment of an executive of the derivatives business operator, or upon the termination of such approval of the SEC Office, if the change of

rights of a customer as follows; (a) the right to be informed of any behavior which may cause a conflict of interests; (b) the right to inspect customer personal information including the advice that the

calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for

equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from disclosing personal information, information on trading of derivatives, or a

compose of personal detail, time of entering and there should be inspected that record consistently. [M] · Arranging the computer centre separately such as network zone, server zone and printer zone etc