which is different from that specified in the risk disclosure statement in Clause 21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any
21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any material information that may affect the derivatives trading to the customer prior
measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious transaction or other reporting made to anti-money laundering
transactions. Clause 21. Securities company shall establish a proper measure to prevent their employees, including those entrusted by the company, from tipping off /disclose information concerning suspicious
/disclose information concerning suspicious transaction or other reporting made to anti-money laundering authorities to customers or unrelated persons. (Unofficial Translation) - 9 - Chapter 4 Record Keeping
management company shall disclose the name of fund managers of each mutual fund in a report or document sent to unit holders at least once a year and in the web site of the management company. In case there is
date of termination of appointment. The management company shall disclose the name of fund managers of each mutual fund in a report or document sent to unit holders at least once a year and in the web
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other