include therein excessive transactions (churning) in the following manners: (1) refrain from soliciting or encouraging clients to enter into transactions more often than necessary; (2) refrain from entering
refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort
mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort information, or give false information to counter trader. 8 Amended by Notification
of securities trading, by refrain from information disclosure, distort information, or give false information to counter trader. 8 Amended by Notification of the Securities and Exchange Commission No
all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information to other persons except
the customer. (2) Treat all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information
transactions (churning) in the following manners: (1) refrain from soliciting or encouraging clients to enter into transactions more often than necessary; (2) refrain from entering into any transaction for a
year. Clause 18 The intermediary shall ensure that the foreign personnel under Clause 16 refrain from undertaking any act which may be unlawful or non-compliance with the relevant rules, and the
particular calendar year. Clause 18 The intermediary shall ensure that the foreign personnel under Clause 16 refrain from undertaking any act which may be unlawful or non-compliance with the relevant rules