) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the

, having obtained sufficient and appropriate audit evidence, concludes that misstatements, individually or in the aggregate, are material, but not pervasive to the financial statements ; from ( 2.1.1

regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units

Management Companies against the Incorrect Selling Price or Redemption Price of Investment Units of Open-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange

institutional client s; (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

prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a

(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient

; (2) a transaction for investment or service provision whose price, compensation or service fee is based on a referable rate or in accordance with the commercial practice applicable to such transaction

....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of the securit...

in accordance with the rules as prescribed in Clause 18(2); (8) having appropriate and sufficient system for proprietary trading which would be able to prevent the following occurrences: (a) negative